{"id":200,"date":"2025-12-29T18:59:14","date_gmt":"2025-12-29T18:59:14","guid":{"rendered":"http:\/\/hykaz.net\/securities\/compliance\/compliance-resources\/"},"modified":"2026-02-26T19:40:04","modified_gmt":"2026-02-26T19:40:04","slug":"compliance-resources","status":"publish","type":"page","link":"https:\/\/hykaz.net\/fr\/securities\/compliance\/compliance-resources\/","title":{"rendered":"Compliance Resources"},"content":{"rendered":"<details class=\"wp-block-details is-layout-flow wp-block-details-is-layout-flow\"><summary><strong>Compliance Outreach<\/strong><\/summary>\n<p class=\"wp-block-paragraph\">Occasionally, we host compliance forums and other events for chief compliance officers and other compliance staff of registered firms. Registered firms are encouraged to attend and ask questions, raise issues of concern, and use the information provided as self-assessment tools to strengthen compliance and improve their internal controls.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n<\/details>\n\n\n\n<details class=\"wp-block-details is-layout-flow wp-block-details-is-layout-flow\"><summary><strong>Publications, Staff Notices and Guidance<\/strong><\/summary>\n<p class=\"wp-block-paragraph\">Periodically, we publish staff notices, guidance, and other documents of interest to registrants.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">For more information:<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/521130\/index.do\">CSA Staff Notice 31-363 Client Focused Reforms: Review of Registrants\u2019 Conflicts of Interest Practices and Additional Guidance<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/notices\/en\/item\/102591\/index.do\">CSA Staff Notice 31-325&nbsp;<em>Marketing Practices of Portfolio Managers<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/notices\/en\/item\/102600\/index.do\">CSA Staff Notice 31-334&nbsp;<em>CSA Review of Relationship Disclosure Practices<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/notices\/en\/item\/102602\/index.do\">CSA Staff Notice 31-336&nbsp;<em>Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on Know-Your-Client, Know-Your-Product and Suitability Obligations<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/119965\/index.do\">CSA Staff Notice 31-342&nbsp;<em>Guidance for Portfolio Managers Regarding Online Advice<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/126587\/index.do\">CSA Staff Notice 31-343&nbsp;<em>Conflicts of interest in distributing securities of related or connected issuers<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/143476\/index.do\">CSA Staff Notice 31-345&nbsp;<em>Cost Disclosure, Performance Reporting and Client Statements<\/em><em>&nbsp;\u2013 FAQs and additional guidance<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/182269\/index.do\">CSA Staff Notice 31-347&nbsp;<em>Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/231882\/index.do\">CSA Staff Notice 31-350&nbsp;<em>Guidance on Small Firms Compliance and Regulatory Obligations<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/420333\/index.do\">CSA Staff Notice 31-356&nbsp;<em>Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/481910\/index.do?iframe=true\" target=\"_blank\" rel=\"noreferrer noopener\">CSA Staff Notice 31-358&nbsp;<em>Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"about:blank\">CSA Staff Notice 33-315 Suitability Obligation and Know Your Product<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/236196\/index.do\">CSA Staff Notice 33-321 Cyber Security and Social Media<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"http:\/\/hykaz.net\/wp-content\/uploads\/Client-Focused-ReformsFAQsDecember2023EN.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Client Focused Reforms Frequently Asked Questions \u2013 Canadian Securities Administrators\u00a0<\/a><\/p>\n<\/details>\n\n\n\n<p 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