Explore the compliance obligations and regulatory requirements for listed companies in Canada, focusing on continuous disclosure and maintaining regulatory approvals.
Explore the critical role of Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) regulations in the mutual fund industry, focusing on compliance obligations, penalties, and best practices.
Explore the critical role of record-keeping in mutual fund management, focusing on compliance, client accounts, transaction records, and best practices for documentation.
Explore the critical role of relationship disclosure information in fostering transparency between fund managers and investors, detailing key components and compliance with Canadian regulations.
Explore the critical importance of compliance in the Canadian securities industry, focusing on provincial laws, SRO regulations, and the consequences of non-compliance.
