Nov 29, 2024 | Regulatory Compliance
On November 5, the Ontario Securities Commission (OSC) released OSC Staff Notice 81-736 Summary Report for Investment Fund and Structured Product Issuers (the Report) for the OSC Investment Management Division (IM Division) for the fiscal year ended March 31, 2024....
May 31, 2023 | Regulatory Compliance
BCSC Annual Report Card Illuminates Issues with Conflicts The British Columbia Securities Commission (BCSC) released its Annual Compliance Report Card (Report Card) on May 25th summarizing the findings from its 2022 compliance program review of B.C. based portfolio...
