Tag: CIRR

Eat, Beach, Sleep, Repeat – New SRO Compliance Priorities Report Repeats Importance of Conflict Documentation

Mar 31, 2023 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance

On March 20, 2023, the New Self-Regulatory Organization of Canada (New SRO) published its New SRO Compliance Priorities Report for 2022/2023: Helping Firms with Compliance. The report highlights what the New SRO believes are issues and challenges faced by the...

Tag: CIRR

Eat, Beach, Sleep, Repeat – New SRO Compliance Priorities Report Repeats Importance of Conflict Documentation

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

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