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Bulletin #0461-P

Policy
Request for Comment – Consultation Related to Incorporated Salespersons

Contact: Aamir
Mirza
BULLETIN #0461 – P
Senior Legal & Policy Counsel
January 12, 2011
Phone: 416-945-5128
E-mail: amirza@mfda.ca

MFDA Bulletin

Policy

For Distribution to Relevant Parties within your Firm


Request for Comment – Consultation Related to Incorporated Salespersons

A working group of provincial/territorial government officials is seeking input from securities
market participants and other stakeholders regarding possible options for the incorporation of
individual sales representatives as well as registered dealers and advisers. To this end, a
Consultation Paper titled “Consultation on Possible Options for the Incorporation of Individual
Representatives of Registered Dealers and Advisers in Canada” was published for public
comment on December 20, 2010.

The deadline for comments is February 25, 2011. Comments are to be sent to:

Marsha Manolescu
Senior Policy Advisor
Alberta Finance and Enterprise
522, 9515 – 107 Street
Edmonton, Alberta, T5K 2C3
Fax: (780) 644-7759
E-mail: marsha.manolescu@gov.ab.ca

Francois Bouchard
Directeur, Direction de l’encadrement du secteur financier
Ministère des Finances Québec
8, rue Cook, 4e étage
Québec (Québec) G1R 0A4
Fax: (418) 646-5744
E-mail: francois.bouchard@finances.gouv.qc.ca

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