Regulatory Alerts2020-07-02
CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers
The Canadian Securities Administrators issued this notice to provide guidance on three Chief Compliance Officer models: shared, multiple, and specialized. The document outlines the specific proficiency, conflict of interest, and capacity factors staff will consider when reviewing applications for these non-traditional registration structures. Registrants are invited to submit comments on these models by September 30, 2020, to assist in future policy assessments.
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