Tag: securities adviser

Reminder: New Derivatives Business Conduct Rule

Aug 30, 2024 | Investment Funds, Regulatory Compliance

The new Multilateral Instrument 93-101 Derivatives: Business Conduct (MI 93-101) and its related companion policy come into force shortly on September 28, 2024. MI 93-101 will have a direct impact on firms that advise or deal in over-the-counter derivatives (OTC...

Tag: securities adviser

Reminder: New Derivatives Business Conduct Rule

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

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