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Managing Conflicts Of Interest: CSA And CIRO Offer Regulatory Guidance

Authors :
Braun, Adam
Source :
Mondaq Business Briefing. August 21, 2023
Publication Year :
2023

Abstract

On August 3, 2023, the Canadian Securities Administrators (the 'CSA') and the Canadian Investment Regulatory Organization ('CIRO') jointly published Staff Notice 31-363 - Client Focused Reforms: Review of Registrants' Conflicts [...]

Subjects

Subjects :
Regulatory compliance -- Laws, regulations and rules
Conflict of interests (Agency) -- Laws, regulations and rules
Recording and registration -- Laws, regulations and rules
Government regulation
Business, international

Details

Language :
English
Database :
Gale General OneFile
Journal :
Mondaq Business Briefing
Publication Type :
News
Accession number :
edsgcl.761625400

Tools

Authors Abstract Subjects Details