FCNB Logo

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

Current Instruments

Category

3 - Registration Requirements and Related Matters

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