Tag: pre-approval of advice

May an associate advising representative work remotely or in a one-person branch office?

May 29, 2020 | COVID-19, FAQs, Regulatory Compliance

National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) prohibits an associate advising representative (AAR) from advising on securities unless that advice has been pre-approved by an advising representative (AR)...

Tag: pre-approval of advice

May an associate advising representative work remotely or in a one-person branch office?

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

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