The CSA published for comment proposed amendments to National Instrument 52-108 Auditor Oversight (The Notice) intended to provid...
CN Editor
October 04, 2019
CSA SEEKS COMMENT ON PROPOSED INFORMATION TECHNOLOGY SYSTEM INTEGRITY RULE
CSA SEEKS COMMENT ON PROPOSED AMENDMENTS TO INVESTMENT FUND REPURCHASE TRANSACTIONS REQUIREMENTS
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JOINT CANADIAN SECURITIES ADMINISTRATORS AND CANADIAN INVESTMENT REGULATORY ORGANIZATION STAFF NOTICE 91-307 GUIDANCE RELATED TO EVENT CONTRACTS: COMPLIANCE WITH REGULATORY REQUIREMENTS
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
ADVISOR SANCTIONED FOR TAKING CLIENT INFO
CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS
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