Jul 31, 2024 | Investment Funds, Mortgage and Real Estate Investment Vehicles, Regulatory Compliance
The Registration, Inspections and Examinations Division of the Ontario Securities Commission (OSC) released its highly anticipated OSC Staff Notice 33-756: Summary Report for Dealers, Advisers and Investment Fund Managers. The report is always a must-read for...
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...
