On June 12, the Alberta Securities Commission (ASC) published Notice 33-706 Policy and Procedures Manual – Reference Resource for Exempt Market Dealers (SN 33-706). It lists, by topic, the national and local regulatory instruments that firms registered as, or thinking about registering as, exempt market dealers (EMDs) may wish to consider in developing their compliance manuals. Although SN 33-706 is directed primarily at Alberta firms, other Canadian firms may find the resource list useful as well.
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Tom Anderson
In-House Counsel
Aveva Inc
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