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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...
Apr 19, 20236 min read


Handling Client Complaints
Effective compliant handling is vital to maintaining investor confidence in the financial markets and ensuring that the industry operates...
Apr 11, 202310 min read


What to Consider when Outsourcing Compliance
THE COMPLIANCE CHALLENGE Investment firms often struggle with a lack of resources to fulfill all regulatory compliance functions. Smaller...
Mar 31, 20235 min read
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