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Self-Serve Portal

Regulated Industries

FCNB is responsible for the regulation and enforcement of securities, insurance, pensions, credit unions, trust and loan companies, co-operatives, mortgage brokers, pay day lenders, real estate and a wider range of other consumer legislation. We regulate 40,000 industry participants who make their living working with New Brunswickers’ money. These industry participants handle more than $34 billion of New Brunswick consumers’ money.

Questions about your industry’s regulations and legislation? Proposed rule changes? Looking for bulletins and notices? If you operate a business in, or work in, one of these regulated industries, here’s where you’ll find answers.

23-102 - Use of Client Brokerage Commissions

Current Instruments

Category

2 - Certain Capital Market Participants

No	Document	Type	Publication Date
23-102	National Instrument (Consolidated up to 1 February 2017)	National Instrument	01/02/2017
23-102	Companion Policy	Companion Policy	30/06/2010

Related Documents

No	Document	Type	Publication Date
11-335	CSA Staff Notice 11-335 Notice of Local Amendments and Changes in Certain Jurisdictions	CSA Notice	13/04/2017
11-328	CSA Staff Notice 11-328 Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon	CSA Notice	12/03/2015

History

No	Document	Type	Publication Date
23-102	Amendment Instrument to NI 23-102	Amendments to Instrument	01/02/2017
23-102	Ministerial Consent	Ministerial Consent	06/12/2016
23-102	CSA Multilateral Notice and Request for Comment - Proposed Amendments to Certain National, Multilateral and Local Instruments and Proposed Changes to 31-103 CP Related to Derivatives Regulation in Alberta, New Brunswick and Saskatchewan	CSA Notice	19/05/2016
23-102	Amendment Instrument to NI 23-102	Amendments to Instrument	11/01/2015
23-102	National Instrument (Consolidated up to 11 January 2015)	National Instrument	11/01/2015
23-102	Ministerial Consent	Ministerial Consent	10/12/2014
23-102	CSA Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Changes to Related Companion Policies	CSA Notice	16/10/2014
23-102	National Instrument	National Instrument	30/06/2010
23-102	CSA Notice - Amendments to Form 81-101F2 and Form 41-101F2	CSA Notice	09/04/2010
23-102	Ministerial Consent	Ministerial Consent	15/02/2010
23-102	CSA Notice of Proposed Amendments to Form 81-101F2 and Form 41-101F2	CSA Notice	09/10/2009
23-102	CSA Notice of Adoption	CSA Notice	06/10/2009
23-102	CSA Notice and Request for Comment	CSA Notice	11/01/2008
23-102	CSA Request for Comment	CSA Notice	26/09/2006
23-102	National Instrument	National Instrument	26/09/2006
23-102	Companion Policy	Companion Policy	26/09/2006