Insights

We strive to make our publications timely, useful, and digestible for the executive managers in the asset management industry. We take pride in a good pun or apt music reference.

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AUM – Registrations

Securities registrations can be complex and time consuming, especially if experienced staff are not available to manage the process....

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AUM – Training

CIRO member dealers are required to provide ongoing training to their Approved Persons concerning securities regulatory requirements,...

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AUM – General Service

Dealer compliance departments are always busy and stressed. We can help when you are having difficulty finding the necessary time to...

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