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.

The articles on our website aren’t intended as a complete statement of the law or an opinion any matter. Please read our Privacy Policy to learn more.

Bulletin | Autumn Edition | September 2021

In this month’s bulletin edition, we cover topics such as the OSC’s Annual Summary Report, IIROC’s draft competency profiles for its registration categories and Québec’s proposed new complaint handling process. Read about these developments and more, below.

read more

NRD Filing Reminders

We would like to remind our clients of a few items to consider with respect to their NRD filing obligations, so that filings are made (and...

read more