Canada:
MFDA Proposes Enhanced Client Reporting Requirements
23 June 2014
Stikeman Elliott LLP
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The Mutual Fund Dealers Association of Canada
recently released proposed amendments to its rules
aimed at harmonizing these with enhanced CSA client reporting requirements
adopted last year.
Among other things, the proposed changes address issues related
to client reporting and trade confirmations. As we previously discussed,
IIROC also adopted amendments to its Dealer Member Rules for
the same purpose earlier last month. Comments on the proposal are
being accepted until September 10, 2014.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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