Code of Conduct Compliance Plan
In this decision, the AUC approved the application from EQUS REA Ltd. (“EQUS”) for approval of its amended Code of Conduct Regulation Compliance Plan (“Compliance Plan”).
EQUS applied for approval of amendments it had made to update the Compliance Plan to align it with changes made to the Code of Conduct Regulation (“CCR”) amendment that came into effect on November 12, 2020. EQUS also requested approval of minor administrative changes.
The AUC was satisfied that the proposed changes are consistent with continued compliance with and sufficiently address the requirements of the CCR. The AUC was further satisfied that all changes meet the AUC’s requirements and are required to better align with the language of and information described in the Compliance Plan and the operations of EQUS. Accordingly, the amended Compliance Plan was approved.
