Highlights of OSC Staff Notice 81-734 Summary Report for Investment Fund &Structured Product Issuers
On September 13, 2023, the Ontario Securities Commission (OSC) issued Staff Notice 81-734. The Summary Report (Report) offers a...
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Laura Bewick Howitt, CFA, CIPM, MBA
- Aug 29
- 6 min
SEC ADOPTS SIGNIFICANT RULE CHANGES FOR PRIVATE INVESTMENT ADVISERS
On August 23, 2023, the Securities and Exchange Commission (SEC) adopted new rules and rule amendments to the Investment Adviser’s Act....
130
Laura Bewick Howitt, CFA, CIPM, MBA
- May 30
- 7 min
BCSC 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...
200
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