Circular Letter re TIEAA Guidelines – Period Of Review For Internal/External Audit Reviews Pursuant To Sections 8.1 And 8.3 Of The Guidelines On The Implementation Of The Tax Information Exchange Agreements, 2017

CIRCULAR LETTER ISSUED TO:
BROKER-DEALERS, UNDERWRITERS
REGISTERED UNDER THE SECURITIES ACT, CHAP 83:02

PERIOD OF REVIEW FOR INTERNAL/EXTERNAL AUDIT REVIEWS PURSUANT
TO SECTIONS 8.1 and 8.3 OF THE GUIDELINES ON THE IMPLEMENTATION OF
THE TAX INFORMATION EXCHANGE AGREEMENTS, 2017 (“TIEAA
GUIDELINES”)

 

Circular Letter re TIEAA Guidelines – Period Of Review For Internal External Audit Reviews Pursuant To Sections 8.1 And 8.3

Scroll to Top

Acts

Bye-Laws

Rules

Orders

SRO Rule Making

Circulars, Bulletins, Policy Statements

Market Guidance – CIS Bye-Laws

Proposed Bye-Laws, Rules, Guidelines & Policies

Registration

Prudential Requirements and Filings

AML-CFT-CPF

Public Statements

Updates

Frequently Asked Questions (FAQs)

Investor Protection

Submit a Tip or Complaint

Resources for Investors

Orders

Notices

Media & Communications

Policy, Publications and Research

Our History

Who We Are

Our Leadership

Careers

Memorandums of Understanding

Procurement

Factsheets

Contact Us