'Intermediary Times' Newsletter

The Investment Firm and Intermediary Newsletter is a newsletter published twice a year by supervision teams within the Investment Firms & Retail Intermediary Supervision Division of the Capital Markets & Funds Directorate. The newsletter highlights topics of interest, new items on our website and regulatory issues that retail intermediaries need to be aware of. This initiative is intended to improve communications with the industry and to assist firms in improving their standards of compliance.

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