CSA discuss compliance expectations for EMD registrants
The CSA issued a staff notice earlier this week dealing with the account statement requirements under National Instrument 31-103 Registration Requirements and Exemptions. Specifically, the notice considers the CSA's expectations for exempt market dealers' compliance with account statement requirements in NI 31-103, notes that the CSA will focus attention on EMDs distributing securities of related or connected issuers and draws attention to CSA guidance on the valuation of securities. For more information, see CSA Staff Notice 31-324.
