Canada:
OSC Signs MOU With MFDA To Facilitate Compliance And Enforcement
09 March 2011
Stikeman Elliott LLP
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A memorandum of
understanding between the OSC, certain other
provincial securities regulators and Investment Industry Regulatory
Organization of Canada (IIROC) entered into with
the Mutual
Fund Dealers Association of Canada (MFDA) is set
to come into effect on March 23, 2011.
The MOU is intended to facilitate the sharing of information
regarding compliance and enforcement matters by establishing a
framework for the MFDA's use, under certain circumstances, of
the National Registry
Database system.
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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