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ARTICLE · 18 MARCH 2008

CSA Propose Amended National “Soft Dollar” Legislation

Osler, Hoskin & Harcourt LLP
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The CSA have proposed a National Instrument 23-102 Use of Client Brokerage Commissions as Payment for Order Execution Services or Research and a companion policy.

CanadaFinance and Banking
John Black
John Black
J. Mark DesLauriers
J. Mark DesLauriers
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The Canadian Securities Administrators (the CSA) have published for comment a revised proposed National Instrument 23-102 Use of Client Brokerage Commissions as Payment for Order Execution Services or Research (Proposed Instrument) and a corresponding proposed Companion Policy 23-102 CP (Proposed Policy). The Proposed Instrument and Proposed Policy (collectively, the Proposal) update an earlier proposal published in July 2006 (the 2006 Proposal).

The Proposed Instrument (announced on January 11, 2008) includes several substantive changes from the 2006 Proposal. In particular, the CSA has addressed concerns raised with the 2006 Proposal (see our Osler Update on the 2006 Proposal) by:

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