The Alberta Securities Commission (ASC) will hold an open forum to further explore the CSA’s proposals on making advisors, dealers and representatives more responsible to their clients.
Up for consultation is CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients, proposes regulatory action to improve the client-registrant relationship. The ASC has also published a narrated overview of the consultation paper.
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The consultation paper, which includes a list of 68 consultation questions, can be found here.
Calgary advisors can weigh in December 9th, from 1 to 3 p.m. at Centennial Place, 250- 5th Street SW, 3rd floor Conference Centre in Calgary.
To participate, register in advance by November 25. If you can’t make it, ASC will publish a transcript online after the event.
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