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ARTICLE · 23 DECEMBER 2010

Provincial Ministers Release Consultation Paper on Incorporated Salespersons

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On December 20, 2010, a working group of provincial/territorial government representatives released for comment a long-awaited consultation paper on possible options that would allow for the incorporation of individual sales representatives of registered dealers and advisers.

CanadaStrategy
Rebecca Cowdery
Rebecca Cowdery
Prema Thiele
Prema Thiele
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On December 20, 2010, a working group of provincial/territorial government representatives released for comment a long-awaited consultation paper on possible options that would allow for the incorporation of individual sales representatives of registered dealers and advisers. Consultation on Possible Options for the Incorporation of Individual Representatives of Registered Dealers and Advisers in Canada [available here] is open for comment until February 25, 2011.

The working group emphasizes that no government or securities regulator has approved the various options and that the Consultation Paper is intended to stimulate discussion and comment.

The Consultation Paper provides a useful background to the issues around incorporated salespersons, including a discussion on the drawn-out history of the practice of "directed commissions" that has grown up in the mutual fund dealer community, which was recently sanctioned by the Mutual Fund Dealers Association of Canada

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