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CSA, IIROC Provide Update on Conflict of Interest Resulting from Soliciting Dealer Requirements

by Barbara Hendrickson | Jul 2, 2019

In April 2018, the Canadian Securities Administrators issued (CSA) CSA Staff Notice 61-303, Soliciting Dealer Requirements and Request for Comment (the CSA Staff Notice and Request for Comment) for stakeholder consultation. After the comment period ended and after...

About BAX Corporate Securities & Financial Services Lawyers

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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416.601.1004
bhendrickson@baxsecuritieslaw.com

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