CSA/CIRO Notice on Firms’ Conflicts of Interest Practices
The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) published a joint Staff Notice (31-363) on August 3, 2023 summarizing their review of firms’ Conflicts of Interest practices as it relates to the Client Focused Reforms. Of the 172 firms the CSA, IIROC and the MFDA reviewed, no deficiencies relating to conflicts […]
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