Tag: Item 17 Ownership of Securities and Derivatives Firms of Form 33-109F4

OSC’s CRR Branch Publishes its Annual Report on Registrants

Aug 31, 2021 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance

On August 10, 2021, staff of the Compliance and Registrant Regulation (CRR) Branch at the Ontario Securities Commission (OSC) published OSC Staff Notice 33-752 Summary Report for Dealers, Advisers and Investment Fund Managers (Report). The Report provides an overview...

Tag: Item 17 Ownership of Securities and Derivatives Firms of Form 33-109F4

OSC’s CRR Branch Publishes its Annual Report on Registrants

https://aumlaw.com/wp-content/uploads/2020/03/00268628.pdf

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