Nov 30, 2021 | Regulatory Compliance
We assist many businesses that are obtaining registration as an exempt market dealer, adviser and/or investment fund manager for the first time. Often, those seeking registration for their start-up businesses have engaged in other types of activities prior to...
May 29, 2020 | COVID-19, News, Regulatory Compliance
During the Spring Regulatory and Compliance Webinar organized by the Portfolio Management Association of Canada (PMAC) on May 27, a member of the Compliance and Registrant Regulation Branch (Branch) at the Ontario Securities Commission (OSC) updated attendees on the...
