Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Client Focused Reforms: Conflicts of Interest & Joint Sweep CSA/CIRO Report
Project Details:
In this webcast, Lisa Caputo and Sasha Latka, Managers, Business Conduct Compliance will provide an overview of the amendments to the conflicts of interest requirements in the Client Focused Reforms that came into force on June 30, 2021. They will also summarize the recent joint regulatory sweep of firms’ conflicts of interest practices that was conducted by the CSA, IIROC, and the MFDA and the resulting joint Staff Notice 31-363 published by the CSA and CIRO to summarize the findings and provide additional guidance to registrants.