Michael Sharp

Michael Sharp

Blake, Cassels & Graydon LLP

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CSA’s New Consultation Paper Looks to Enhance Registrants’ Obligations

The Canadian Securities Administrators (CSA) recently released Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward their Clients (Consultation Paper), which considers...more

5/27/2016  /  Canada , Canadian Securities Administration , Chief Compliance Officers , Comment Period , Conflicts of Interest , Financial Adviser , Ontario Securities Commission (OSC) , Registration Requirement
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