Tag: advising derivatives parties

Derivatives: Business Conduct – A Labyrinth of Compliance Obligations

Oct 31, 2023 | Investment Funds, Regulatory Compliance

The Canadian securities regulators adopted a business conduct rule for derivatives dealers and advisers which will become effective on September 28, 2024 (the rule or MI 93-101). British Columbia intends to adopt substantially similar rules and when they do so, the...

Tag: advising derivatives parties

Derivatives: Business Conduct – A Labyrinth of Compliance Obligations

https://aumlaw.com/wp-content/uploads/2020/03/00268628.pdf

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