Jul 31, 2024 | Anti-Money Laundering, Regulatory Compliance
As all registrants know, reporting entities including advisers and dealers are required to report suspicious transactions for money laundering or terrorist financing to the Financial Transactions and Reports Centre of Canada (FINTRAC). As of August 19, 2024,...
Sep 30, 2021 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
On September 2, 2021, the Ontario Securities Commission (OSC) published its 2021 Annual Report – Promoting Confidence, Fostering Innovation (Report), along with its financial statements for the year ended March 31, 2021 and the accompanying MD&A. The Report...
