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Our focus today is on the findings from the conflicts of interest sweep reported on in the recent BCSE report card. The sweep was conducted by members of the Canadian securities administrators beginning December 2021. Here, we look at the failure to identify conflicts, failure to implement required processes, and failure to disclose. Hopefully your firm is up to speed and keeping good records so you’re not found to be deficient.

If you need more information, please contact us!  www.valc.ca