CIRO Publishes Phase 5 of its Rule Consolidation Project
By EsqSocial Corporation 23/04/25
The Canadian Investment Regulatory Organization (“CIRO”) has published for comment Phase 5 of its rule consolidation project (the “Rule Consolidation Project”). Phase 5 involves rules relating to outsourcing and service arrangements, continuing education, reporting and handling of complaints, internal investigations and other reportable matters, recordkeeping and client reporting, financial solvency, client asset use and custody and financing arrangements....
By: Stikeman Elliott LLP