Tag: Registrant Outreach

Sweeps, Sweeps and More Sweeps

Feb 28, 2022 | Client-Focused Reforms (CFRs), Corporate Finance, Investment Funds, Regulatory Compliance

A number of CSA jurisdictions have begun their promised registrant reviews relating to the client-focused reforms. These jurisdictions have sent out very extensive questionnaires relating specifically to the conflicts of interest provisions that came into force at the...

Tag: Registrant Outreach

Sweeps, Sweeps and More Sweeps

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

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