Tag: suitability disclosure

Hocus Pocus Everyone Focus – Are you CFR-Compliant? Further Update on Regulatory Audits

Oct 31, 2022 | Investment Funds, Regulatory Compliance

Registrants should be mindful of an uptick in regulatory scrutiny relating to conflicts of interest, as we first noted in our June 2022 bulletin here. As a reminder, the Client Focused Reforms (CFRs) pursuant to National Instrument 31-103 Registration Requirements,...

Tag: suitability disclosure

Hocus Pocus Everyone Focus – Are you CFR-Compliant? Further Update on Regulatory Audits

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

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