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Ode to Market Data Access

Back in November, 2022 we wrote about CSA Consultation Paper 21-403 Access to Real-Time Market Data, which dealt with concerns about the...

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AUM – Compliance Reviews

Is your firm preparing for a regulatory examination? Are you ready? Do you want an independent assessment of your compliance program? Our...

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AUM – AML Training

Securities dealers, including CIRO member dealers, are subject to Canada’s anti-money laundering (AML) and anti-terrorist financing (ATF)...

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