BAX Securities Law™
  • Home
  • About Us
    • Who We Are
    • Our Commitment
    • Fees
    • Community
  • Our Practice
    • Financial Services Regulation
    • Fintech
    • Capital Raising
    • Mergers & Acquisitions
    • Real Estate Syndications
    • Registrant Regulation
    • Investment Funds
    • Climate Change & Emissions Trading
    • Regulatory Compliance
  • Team
    • Professionals
      • Barbara Hendrickson
    • Administration
    • Top Dog
  • News Updates
  • Contact Us
Select Page

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...
Join Our Mailing List
.;;;;;;;;;;;;;;;;;;;;;;