IIROC has released a Notice which provides guidance to Dealer Members (Dealers) on IIROC’s expectations for implementing a fully-...
CN Editor
June 03, 2022
ESMA ISSUES GUIDANCE ON LISTING REFORMS
CIRO PROFICIENCY MODEL FOR APPROVED PERSONS UNDER THE INVESTMENT DEALER AND PARTIALLY CONSOLIDATED RULES
GUIDANCE ON THE NEW CIRO PROFICIENCY MODEL FOR APPROVED PERSONS OF INVESTMENT DEALERS - EXEMPTIONS, RECOGNITION, TRANSITION AND VALIDITY PROVISIONS
GUIDANCE ON DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
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