November 18, 2016 BY Valentina Kirilova

Canadian Securities Regulators publish guidance for portfolio managers working with investment dealers

The Canadian Securities Administrators (CSA) has published CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members. The notice provides information and guidance for CSA-regulated portfolio managers who enter into custody and trading arrangements with dealer members of the Investment Industry Regulatory Organization of Canada (IIROC). In recent years, Portfolio…

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