| Canadian Investment Regulatory Organization

CSA and CIRO release results of review and guidance on conflicts of interest obligations

Joint Canadian Securities Administrators / Canadian Investment Regulatory Organization Staff Notice 31-363 Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance

Investment Dealer

Mutual Fund Dealer

Updated Guidance – Anti-Money Laundering Compliance for Investment Dealers

Approval/Implementation

August 16, 2023

Investment Dealer

OTT Financial Canada Inc.

Investment Dealer

Worldsource Wealth Management Inc.

Category:

Wells Fargo Securities Canada, Ltd.

Category:

Approved by CIRO to be a Participant

Wellington-Altus Private Wealth Inc.

Category:

Approved by CIRO to be a Participant

Wealthsimple Investments Inc.

Category:

Approved by CIRO to be a Participant

Watt Carmichael Inc.

Category:

W.D. Latimer Co. Limited

Category:

Approved by CIRO to be a Participant

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