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Canadian Securities Administrators Issue Staff Notice 31-356, Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision

by Barbara Hendrickson | Aug 27, 2019

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...

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BAX practises in the securities and financial services regulatory areas and has acted as counsel to major Canadian and American corporations, market participants.

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