( Disponible en anglais seulement )
Are Your Underwriting Due Diligence Practices Consistent with IIROC’s Expectations? Release of Final Guidance Provides a Valuable Opportunity for an Internal Review
Dealer Members of the Investment Industry Regulatory Organization of Canada (« IIROC« ) may wish to consider conducting an evaluation of their due diligence policies and procedures in relation to prospectus offerings, to consider whether their practices are consistent with IIROC’s expectations....
