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Brief submitted by the Antoine-Turmel Research Chair on the CSA Consultation on the Proposed Amendments to Enhance Protection of Older and Vulnerable Clients

On March 5, 2020, the Canadian Securities Authorities (“CSA”) has submitted proposals to enhance protection of older and vulnerable clients. In particulary, the CSA has submitted Proposed Amendments to National Instrument 31-103 on Registration Requirements, Exemptions and Ongoing Registrant Obligations (the “Proposed Amendments”) and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations (the “Companion Policy”) (referred to collectively as the “CSA proposals” or “regulatory proposals”).  As members of the Antoine-Turmel Research Chair on the Legal Protection of Seniors at Université Laval, Professors Raymonde Crête and Christine Morin submitted a brief to fuel reflections on these issues and submit proposals designed to improve the regulatory texts contemplated. Accordingly, they begin by placing the problem in context (1), and go on to address the following questions, namely the protective measures considered by the CSA (2), the issues arising from the implementation of the proposed measures (3), the adoption of written policies and procedures (4) and the key concepts in the proposed changes (5).

To read the brief

CRÊTE, Raymonde and Christine MORIN
Faculté de droit, Université Laval, Québec, 11 novembre 2020
Date pour le tri: 
21 Décembre 2020
Conception et réalisation : Centre de services en TI et en pédagogie (CSTIP). Tous droits réservés. © 2016 Université Laval