Tag: marketing/sales practiices

FAQ Corner: Fixing the Leaks: Common OSC Audit Questions

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...

Tag: marketing/sales practiices

FAQ Corner: Fixing the Leaks: Common OSC Audit Questions

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

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