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Friday, November 26, 2021

Recent Regulatory Issues Affecting Adviser & Dealer Firms


Date: Thursday, March 27, 2008
Author: McMillan Binch Mendelsohn

In addition to the recent publication of a revised version of National Instrument 31-103 Registration Requirements, there have been a number of other regulatory developments since the beginning of 2008 which may affect or be of interest to registered advisers and dealers involved in the Canadian investment management industry. This bulletin is intended to provide our clients with a summary of those developments.

Any of the lawyers identified at the end of this bulletin would be pleased to discuss any of these issues with you in further detail.

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For additional information, please contact:

Mark Pratt: 416.865.7141

McMillan Binch Mendelsohn LLP
www.mcmbm.com