Regulated Industries

The Financial and Consumer Services Commission of New Brunswick 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 44,000 industry participants who make their living working with New Brunswickers’ money. These industry participants handle more than $50 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.

31-336 - CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the KYC, KYP and Suitability Obligations

Category: 3 - Registration Requirements and Related Matters

Status:

Current Instruments:

No	Document	Type	Publication Date
31-336	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	CSA Notice	09/01/2014

Topics

Fraud and Scams

Investing

Personal Finances

Real Estate

Insurance

Building a Business

Consumer Protections

Unclaimed Property

Book a Presentation

Regulated Industries

For Individuals

For Organizations

Industry Resources

31-336 - CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the KYC, KYP and Suitability Obligations

Current Instruments: