Working group of provincial/territorial government

Note that all the PDF documents on this web page open in another window.

A working group of provincial/territorial government officials is asking for input from market participants and other stakeholders regarding the possible options for the incorporation of individual sales representatives of registered dealers and advisers. It published the following consultation document.

No government or securities regulator has approved any of these options. They are presented only to stimulate public discussion.

Consultation paper PDF document

Summary of Consultation Responses PDF document

The Ministry would like to thank the individuals and organizations who participated to the consultation.

Here the list of the comments tabled. They are available in French only:

Alberta Finance and Enterprise also received comments that can be consulted at the following address: