As required by federal regulations, all personnel who require access to Tier 1 biological select agents and toxins (BSAT) must be evaluated through the University Personnel Suitability Assessment ...
Brokerage firms will have another six months to comply with new enhanced suitability requirements that are being introduced as part of the Client Relationship Model (CRM). The Investment Industry ...
A regulatory review of exempt market dealers and portfolio managers in Ontario found widespread deficiencies in firms’ compliance with their suitability obligations. On Friday, the Ontario Securities ...
Amid concerns about the potential of a laboratory insider unleashing a deadly bioterror pathogen on the public, President Obama ordered greater scrutiny of workers ...
TORONTO(Thomson Reuters Regulatory Intelligence) - *To read more by the Thomson Reuters Regulatory Intelligence team click here: bit.ly/TR-RegIntel Compliance obligations related to suitability and ...
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