Canadian Securities Autorités canadiennes CSA/ACVM Administrators en valeurs mobilières Concept paper 23-402 Best Execution and Soft Dollar Arrangements Introduction The Canadian Securities Adminstrators, (the CSA or we) are publishing Concept paper 23-402 Best execution and soft dollar arrangements for comment. The purpose of the concept paper is to set out a number of issues related to best execution and soft dollar arrangements for discussion and obtain feedback. We will take the feedback received through the consultation process into account in our assessment of what, if any, further steps are appropriate. Request for Comment We welcome your comments on the issues identified in the concept paper in both hard copy and email form. Please submit them in writing on or before May 6, 2005. Please address your submission to all of the CSA listed below in care of the OSC, in duplicate as indicated below: British Columbia Securities Commission Alberta Securities Commission Manitoba Securities Commission Ontario Securities Commission c/o John Stevenson, Secretary Ontario Securities Commission 20 Queen Street West Suite 1903, Box 55 Toronto, Ontario M5H 3S8 Fax: (416) 593-2318 Email: jstevenson@osc.gov.on.ca Please also send your submission to the Autorité des marchés financiers du Québec as follows: Anne-Marie Beaudoin, Directrice du secrétariat Autorité des marchés financiers du Québec Tour de la Bourse 800, square Victoria C.P. 246, 22e étage Montréal, Québec H4Z 1G3 Email: consultation-en-cours@lautorite.com We cannot keep submissions confidential because securities legislation in certain provinces requires us to publish a summary of written comments received during the comment period. The text of the document follows. Questions Please refer your questions to any of the following people:
Cindy Petlock Ontario Securities Commission (416) 593-2351 cpetlock@osc.gov.on.ca Susan Greenglass Ontario Securities Commission (416) 593-8140 sgreenglass@osc.gov.on.ca Veronica Armstrong British Columbia Securities Commission (604) 899-6738 varmstrong@bcsc.bc.ca Patty Johnston Alberta Securities Commission (403) 297-2074 patty.johnston@seccom.ab.ca Elizabeth Osler Alberta Securities Commission (403) 297-5167 elizabeth.osler@seccom.ab.ca Serge Boisvert Autorité des marchés financiers du Québec (514) 940-2199 x4358 serge.boisvert@lautorite.qc.ca Doug Brown Manitoba Securities Commission (204) 945-0605 doubrown@gov.mb.ca February 4, 2005
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