Rule A Dealer Member’s policies and procedures must specifically address achieving best execution for client orders. Guidance/Notices 09/23/21 Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-330 – Guidance for Crypto-Trading Platforms: Requirements relating to Advertising, Marketing and Social Media Use Type: Rules Notice Subtype: Approval/Implementation 03/12/21 Guidance on order execution only account services and activities Type: Rules Notice Subtype: Guidance Note 10/14/21 Recommendations and best practices for distribution of non-arm’s length investment products Type: Rules Notice Subtype: Guidance Note 10/14/21 Client Relationship Model Type: Rules Notice Subtype: Guidance Note 10/14/21 Service arrangements between Dealer Members and Portfolio Managers Type: Rules Notice Subtype: Guidance Note 10/14/21 Managing Conflicts of Interest arising from Soliciting Dealer Arrangements Type: Rules Notice Subtype: Guidance Note 10/14/21 Client accounts “in trust” Type: Rules Notice Subtype: Guidance Note 10/14/21 Guidance on fair pricing of over-the-counter securities Type: Rules Notice Subtype: Guidance Note 10/14/21 Outsourcing arrangements Type: Rules Notice Subtype: Guidance Note History There is no history log for this rule. Disciplinary History There is no history log for this rule. Jump to another section in Rule 3100 3101. Introduction 3102. Business conduct 3110. Responsibility to identify conflicts of interest 3111. Approved Person responsibility to address conflicts of interest 3112. Dealer Member responsibility to address conflicts of interest 3113. Responsibility to disclose conflicts of interest 3114. Conflicts of interest policies and procedures 3115. Personal financial dealings 3116. Offering gratuity 3117. Mutual fund sales incentives 3118. Tied selling 3119. Definitions 3121. Best execution factors 3122. Best execution process 3123. Non-executing Dealer Member best execution policies and procedures 3124. Sending orders in bulk to foreign intermediaries 3125. Fair pricing of over-the-counter securities 3126. Review of best execution policies and procedures 3127. Training 3128. Compliance with the Order Protection Rule 3129. Disclosure of best execution policies 3140. Identifying clients of a Non-Executing Dealer Member
09/23/21 Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-330 – Guidance for Crypto-Trading Platforms: Requirements relating to Advertising, Marketing and Social Media Use Type: Rules Notice Subtype: Approval/Implementation
03/12/21 Guidance on order execution only account services and activities Type: Rules Notice Subtype: Guidance Note
10/14/21 Recommendations and best practices for distribution of non-arm’s length investment products Type: Rules Notice Subtype: Guidance Note
10/14/21 Service arrangements between Dealer Members and Portfolio Managers Type: Rules Notice Subtype: Guidance Note
10/14/21 Managing Conflicts of Interest arising from Soliciting Dealer Arrangements Type: Rules Notice Subtype: Guidance Note
10/14/21 Guidance on fair pricing of over-the-counter securities Type: Rules Notice Subtype: Guidance Note