Summary Report for Dealers, Advisers, and Investment Fund Managers Released by the Ontario Securities Commission

Regulation | Aug 2, 2023 The Ontario Securities Commission (OSC) has published its 2023 summary report for dealers, advisers and investment fund managers. The report provides information to help registrants comply with requirements under Ontario securities law. It discusses important matters impacting registration, outcomes from compliance reviews, and areas of focus for the OSC’s Compliance and

The post Summary Report for Dealers, Advisers, and Investment Fund Managers Released by the Ontario Securities Commission first appeared on National Crowdfunding & Fintech Association of Canada.