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News and Publications : Regulatory Updates

CSA Staff Notice 31-343

November 25, 2015  
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Last week the CSA published 31-343 Conflicts of Interest in Distributing Securities of Related or Connected Issuers [CSA Staff Notice] - published November 19, 2015.

The document provides guidance on captive dealers and conflicts [related and connected issuer matters] and how to address them.

 

Please review document HERE


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