Laura Bewick Howitt, CFA, CIPM, MBANov 2212 minHighlights of OSC Staff Notice 81-734 Summary Report for Investment Fund &Structured Product IssuersOn September 13, 2023, the Ontario Securities Commission (OSC) issued Staff Notice 81-734. The Summary Report (Report) offers a...
Laura Bewick Howitt, CFA, CIPM, MBAAug 296 minSEC ADOPTS SIGNIFICANT RULE CHANGES FOR PRIVATE INVESTMENT ADVISERSOn August 23, 2023, the Securities and Exchange Commission (SEC) adopted new rules and rule amendments to the Investment Adviser’s Act....
Laura Bewick Howitt, CFA, CIPM, MBAMay 307 minBCSC 2022 Compliance Report Card Highlights Emphasis on Conflicts of Interest The BSCS currently regulates 159 B.C.- based portfolio managers (Advisers), investment fund managers (IFMs), and exempt market dealers...