Connection between dealer and issuer may result in conflicts of interest
Proposed principals set out methods to mitigate potential conflicts
Agents required to complete the questionnaire by July 27
Report discusses approaches for addressing conflicts that may arise during securities offerings
FSCO plans to review principles
Association responds to Newfoundland’s Principles of the Sale of Insurance
Settlement brings multi-state investigation to a close
Written disclosure must be provided to clients regarding potential conflicts that have been identified
Amendments clarify conflict of interest guidelines
Industry comments sought