Compliance Resources
Compliance Outreach
Occasionally, MSC Staff host compliance forums and other events that are open to the Chief Compliance Officers and other compliance staff of registered firms. Registered firms are encouraged to attend and ask questions, raise issues of concern, and use the information provided as self-assessment tools to strengthen compliance and improve their internal controls.
Publications, Staff Notices and Guidance
Periodically, Compliance will issue written publications that may include staff notices, guidance or other reporting of interest to registrants.
For more information:
- CSA Staff Notice 31-325 Marketing Practices of Portfolio Managers
- CSA Staff Notice 31-334 CSA Review of Relationship Disclosure Practices
- CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on Know-Your-Client, Know-Your-Product and Suitability Obligations