Securities

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.

Periodically, we publish staff notices, guidance, and other documents of interest to registrants.

For more information:

CSA Staff Notice 31-363 Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance

CSA Staff Notice 31-325 Marketing Practices of Portfolio Managers

CSA Staff Notice 31-334 CSA Review of Relationship Disclosure Practices

CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on Know-Your-Client, Know-Your-Product and Suitability Obligations

CSA Staff Notice 31-342 Guidance for Portfolio Managers Regarding Online Advice

CSA Staff Notice 31-343 Conflicts of interest in distributing securities of related or connected issuers

CSA Staff Notice 31-345 Cost Disclosure, Performance Reporting and Client Statements – FAQs and additional guidance

CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members

CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations

CSA Staff Notice 31-356 Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision

CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments

CSA Staff Notice 33-315 Suitability Obligation and Know Your Product

CSA Staff Notice 33-321 Cyber Security and Social Media

Client Focused Reforms Frequently Asked Questions – Canadian Securities Administrators