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Searching Content indexed under Debt Capital Markets by Gillian Dingle ordered by Published Date Descending.
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High Regulatory Standards For Experienced Registrants & Compliance With Client Reporting Obligations: IIROC V. Sutton
What is the standard expected of a dealer employee who is tasked with pricing securities for client reporting, and the compliance standard for reviewing that work? Can seniority affect the standard...
Canada
17 Sep 2018
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