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Advisory Standards/Best Interests Duty / Suitability

Submission Category: Suitability

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IIROC Draft Guidance Note: “Know Your Client and Suitability Guidelines”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