Regulatory Alerts2026-07-29
Added · Updated
CSA and CIRO guidance on marketing and sale of foreign-listed ETFs
Staff Notice 81-339 sets out guidance for market participants regarding the marketing and sale of exchange-traded funds listed on a foreign exchange but not on a Canadian exchange. It reminds participants that active marketing or promotion in Canada may trigger prospectus requirements and, in certain jurisdictions, investment fund manager registration requirements. The notice clarifies how know-your-product, know-your-client, and suitability determination obligations apply to these sales and encourages order execution-only dealers to provide improved disclosure to investors before purchase.
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