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CSA publishes guidance for know-your-client, know-your-product and suitability obligations

  • Securities - CSA Image

Jan 09, 2014

On January 9, the Canadian Securities Administrators published CSA Staff Notice 31-336, Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations.

The CSA recommends that registrants use the Notice as a self-assessment tool to improve their system of internal controls and supervision, and as a means to promote compliance and manage risk. Going forward, CSA staff will continue to closely monitor registrants’ compliance in these areas and will take appropriate regulatory action if necessary to ensure such compliance.

Read the press release.

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