What you Should Know About the New Total Cost Reporting (TCR) Enhancements
On April 20, 2023, the Canadian Securities Administrators (CSA) released final amendments to National Instrument 31-103 – Registration...
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Laura Bewick Howitt, CFA, CIPM, MBA
- Apr 19
- 6 min
The OSC publishes Statement of Priorities for 2023-2024
On April 18, 2023, the Ontario Securities Commission (OSC) published its 2023-2024 Statement of Priorities (SOP), which sets out the four...
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Laura Bewick Howitt, CFA, CIPM, MBA
- Apr 11
- 10 min
Handling Client Complaints
Effective compliant handling is vital to maintaining investor confidence in the financial markets and ensuring that the industry operates...
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