Tag: risk-based review

CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds

May 31, 2022 | Client-Focused Reforms (CFRs), COVID-19, Investment Funds, Regulatory Compliance

Despite the impending consolidation of IIROC and the MFDA discussed earlier in this bulletin, staff of the Canadian Securities Administrators (CSA) are required to assess both self-regulatory organizations (SROs) and their respective investor protection funds (IPFs)...

Tag: risk-based review

CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds

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

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