Oct 9, 2020 | Client-Focused Reforms (CFRs), News, Regulatory Compliance
On September 28, the Canadian Securities Administrators (CSA) published guidance in the form of responses to frequently asked questions (FAQs) about how to interpret and implement the client-focused reforms (CFRs) to National Instrument 31-103 Registration...
Jan 31, 2020 | Client-Focused Reforms (CFRs), Featured, Regulatory Compliance
In this bulletin: Client-Focused Reforms: A Closer Look at the Misleading Communications, RDI, Compliance Training and Record-Keeping Rules IIROC and FINRA Publish Their Compliance Priorities for 2020 Get Ready to RAQ and Roll IIROC Fines Registered Representative for...
Jan 31, 2020 | Client-Focused Reforms (CFRs), Regulatory Compliance
As we reported in our October 2019 special bulletin, the Canadian Securities Administrators (CSA) have finalized their client-focused reforms (CFRs) to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and...
