Feb 28, 2023 | Regulatory Compliance
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations sets out the obligations of a registered firm’s Chief Compliance Officer. The CCO is required to submit an annual report to the firm’s board (or individuals acting in a...
Mar 31, 2022 | Client-Focused Reforms (CFRs), Regulatory Compliance
If not already completed, firms with a December year end should turn their attention to the required annual report from the Chief Compliance Officer. National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations requires that a...
