Fiduciary Duty for Dealers: Upcoming CSA Panel Discussion

The CSA announced on Monday the discussion topics for its panel session on July 23, 2013 from 10:00 a.m. to 12:00 p.m. on the 22nd floor of the OSC’s offices, located at 20 Queen Street West, Toronto, Ontario. The session will be moderated by James E.A. Turner, Vice-Chair of the OSC.

The panel discussion will focus on the following two topics:

  1. Should dealers (and their representatives) be subject to a best interest standard when providing advice to retail clients? What would the consequences be of introducing such a standard?
  2. What other policy options could securities regulators consider in addition, or as alternatives, to a statutory best interest standard?

Any interested parties wishing to attend the roundtable are asked to send an email with full contact details to [email protected] by July 18, 2013. Space at the event is limited and it is anticipated that a transcript will be posted to the OSC website following the panel session.

best interest standard fiduciary duty James E.A. Turner panel discussion

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