IIROC adopts guidance on use of business titles and financial designations

March 26, 2014

Earlier this week, the Investment Industry Regulatory Organization of Canada announced that it is adopting guidance in respect of regulatory expectations relating to the use of business titles and financial designations. As we discussed earlier this year, IIROC published draft guidance on the subject in January, and the final version of the guidance addresses issues identified by stakeholders during the public consultation period and provides additional guidance where necessary.

For more information, see IIROC Notice 14-0073.

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