Apr 29, 2022 | Regulatory Compliance
A friendly reminder to portfolio managers that there are a number of regulatory expectations around investment management agreements. For example, each investment management agreement entered into with a client must be dated, signed in a timely manner by a member of...
Apr 29, 2022 | Client-Focused Reforms (CFRs), FAQs, Investment Funds, Regulatory Compliance
You just got a formal request from the Ontario Securities Commission (OSC) that they would like to come by for a visit, accompanied by a request for all the inner workings of your firm, what do you do?! First, respond. Second, get ready, any regulatory review will be...