Tag: harmonizing CE programs

Kicking Off a New Regime – Application for Recognition of New Self-Regulatory Organization

May 31, 2022 | Investment Funds, Regulatory Compliance

The Canadian Securities Administrators (CSA) has taken one step closer to realizing on its recommendations to consolidate the two existing self-regulatory organizations (SROs), IIROC and the MFDA, into a single SRO (New SRO) in CSA Staff Notice and Request for Comment...

Tag: harmonizing CE programs

Kicking Off a New Regime – Application for Recognition of New Self-Regulatory Organization

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

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