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.

33-403 - CSA Consultation Paper 33-403 The Standard of Conduct for Advisers and Dealers

Category: 3 - Registration Requirements and Related Matters

Status:

Current Instruments:

No	Document	Type	Publication Date
33-403	CSA Consultation Paper 33-403 - The Standard of Conduct for Advisers and Dealers	CSA Consultation Paper	25/10/2012

Related Documents:

No	Document	Type	Publication Date
33-316	CSA Staff Notice 33-316 Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clie	CSA Notice	17/12/2013

Topics

Fraud and Scams

Investing

Personal Finances

Real Estate

Insurance

Building a Business

Consumer Protections

Unclaimed Property

Book a Presentation

Regulated Industries

Regulated Industries

Industry Resources

33-403 - CSA Consultation Paper 33-403 The Standard of Conduct for Advisers and Dealers

Current Instruments: