Sep 30, 2021 | Investment Funds, Regulatory Compliance
On September 9, the Autorité des marchés financiers (AMF) released a draft regulation relating to the processing of complaints in the financial sector in Québec. It is intended to create a common set of rules and practices for the fair processing of complaints, and...
Feb 26, 2021 | FAQs, Investment Funds, Regulatory Compliance
Answer: When considering an investment in a reporting issuer, we often get questions on whether the early warning reporting (EWR) requirements apply and whether a report is required under National Instrument 62-104 Take-Over Bids and Issuer Bids or National Instrument...
Sep 30, 2020 | Investment Funds, News, Regulatory Compliance
On September 14, staff of the Compliance and Registrant Regulation (CRR) Branch at the Ontario Securities Commission (OSC) published their Annual Summary Report for Dealers, Advisers and Investment Fund Managers (Report). The OSC encourages registrants to use the...
