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, 20236 min read
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, 202310 min read
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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