Tag: paid referral arrangements

FAQ Corner: What Procedures are Required Before My Firm Can Accept Referred Business from a Third-Party?

Jun 30, 2021 | FAQs, Investment Funds, Regulatory Compliance

Answer: Canadian securities laws require that a registered firm manage material conflicts of interest in the best interests of its clients. The Canadian Securities Administrators have provided guidance that paid referral arrangements are an inherent conflict of...

Tag: paid referral arrangements

FAQ Corner: What Procedures are Required Before My Firm Can Accept Referred Business from a Third-Party?

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

Categories

Latest News