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Advisory Standards/Best Interests Duty / Page 2

Submission Category: Advisory Standards/Best Interests Duty

Consultation regarding Financial Advisory and Financial Planning Policy Alternatives

As more Ontarians (and Canadians) are compelled to be self-reliant in saving for retirement and are forced into the markets

CSA Consultation Paper 33-403 Statutory Best Interest Standard

Download PDF February 22, 2013 John Stevenson, Secretary Ontario Securities Commission 20 Queen Street West 19th Floor, Box 55 Toronto,

IIROC Request for Comment Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900

Download PDF   January 7, 2011   Brendan Hart Policy Counsel, Member Regulation Policy Investment Industry Regulatory Organization of Canada

IIROC Draft Guidance Note: “Know Your Client and Suitability Guidelines”

This submission is only available in PDF format.  Download PDF here.  

Joint Standing Committee on Retail Investors Issues – Product Suitability Consultation

Download PDF October 9, 2008 Joint Standing Committee on Retail Investor Issues c/o Ontario Securities Commission 20 Queen Street West

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