Tag: credit risk policies and procedures

CIRO Compliance Priorities for 2024

Mar 28, 2024 | Canadian Investment Regulatory Organization (CIRO), Client-Focused Reforms (CFRs), Cyber-security and Data Privacy, Investment Funds, Regulatory Compliance

On March 13, 2024, the Canadian Investment Regulatory Organization (CIRO) released its compliance priorities for the year. There is much in the document for CIRO members to note. Dealers need to pay special attention to the emphasis on compliance with the Client...

Tag: credit risk policies and procedures

CIRO Compliance Priorities for 2024

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

Categories

Latest News