Regulatory Instrument Details

Securities Law & Policy

23-102 Use Of Client Brokerage Commissions [NI]

23-102
Number
Title
Regulatory Instrument Type
Date Type
Date
23-102
Use of Client Brokerage Commissions - Consolidated Version
As Amended - National Instrument - 02/01/2017
National Instrument
As Amended
02/01/2017
23-102CP
Companion Policy to NI 23-102
Effective - Companion Policy - 06/30/2010
Companion Policy
Effective
06/30/2010

Proposed Amendments Related to 23-102

No documents found
Related (1) Historic (6)
Number
Title
Regulatory Instrument Type
Status
Date
23-320
Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada
Published - CSA Notice - 12/14/2017
CSA Notice
Published
12/14/2017
Number
Title
Regulatory Instrument Type
Status
Date
23-102
Amendments to NI 23-102 (arising from NI 14-101)
Effective - Amendments to Instrument - 02/01/2017
Amendments to Instrument
Effective
02/01/2017
23-102
Amendments to NI 23-102 (arising from NI 31-103)
Effective - Amendments to Instrument - 01/11/2015
Amendments to Instrument
Effective
01/11/2015
23-102
Amendments to NI 23-102 (arising from Derivatives related amendments to the Securities Act)
Effective - Amendments to Instrument - 10/31/2014
Amendments to Instrument
Effective
10/31/2014
CSA Notice of National Instrument 23-102 Use of Client Brokerage Commissions and Companion Policy 23-102CP
Published - CSA Notice - 10/02/2009
CSA Notice
Published
10/02/2009
Use Of Client Brokerage Commissions As Payment For Order Execution Services Or Research Services
Published - CSA Notice - 01/11/2008
CSA Notice
Published
01/11/2008
Notice on Proposed NI 23-102
Published - CSA Notice - 07/21/2006
CSA Notice
Published
07/21/2006

News Releases Related to 23-102

Title
Date
Canadian Securities Regulators Approve Requirements On Use of Client Brokerage Commissions
Oct 06, 2009
Canadian Regulators Seek Comments on Soft Dollar Arrangements
Jul 21, 2006