Regulatory Alerts2019-10-03
Added · Updated
CSA Notice of Publication: Regulation to Amend Regulation 31-103 Reforms to Enhance the Client-Registrant Relationship
The Canadian Securities Administrators adopted amendments to Regulation 31-103 to implement Client Focused Reforms that require registrants to address conflicts of interest in the client's best interest and enhance suitability determinations. These changes introduce new Know Your Product obligations and strengthen existing Know Your Client, conflict of interest, and relationship disclosure requirements to better align registrant conduct with client interests. The amendments apply to all registered dealers and advisers, with a phased implementation schedule requiring full compliance by December 31, 2021.
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