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PCMA Advocacy: Comment Letter on the CSA Consultation Paper 33-404.

September 30, 2016  
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On September 29, 2016 the PCMA submitted a comment letter regarding the CSA Consultation Paper 33-404 – Proposals to Enhance the Obligations of Advisors, Dealers, and Representatives towards their Clients. Please review the comment letter HERE.

As the strong national voice for the private capital markets/exempt market, the PCMA constantly monitors key issues affecting the private capital markets/exempt market. The PCMA has made detailed written submissions to securities regulators and we meet regularly with senior representatives of the provincial securities commissions to advance the issues facing the exempt market professionals.

All comment letters can be found on our website under Advocacy section.

We value your opinion! Please send us your questions, comments and views to and help shape the PCMA response to the future proposals.

Your consideration is greatly appreciated!