Tag: complaint process

Proposed Changes for Binding Independent Dispute Resolution Service

Dec 21, 2023 | Investment Funds, Regulatory Compliance

In late November, the Canadian Securities Administrators (the CSA) published a Request for Comment proposing amendments to certain complaint handling provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI...

Tag: complaint process

Proposed Changes for Binding Independent Dispute Resolution Service

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

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