Canadian Securities Administrators Issue Staff Notice 31-356, Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision
The Canadian Securities Administrators (CSA) has provided guidance to firms seeking to engage the services of compliance consultants (Consultants) following a regulatory decision. CSA Staff Notice 31-356, Guidance on Compliance Consultants (The Staff Notice) defines the scope and role of compliance consultants. In detail, the…