Updates and Commentary on Current issues in M&A, Corporate Finance and Capital Markets
Updates and Commentary on Current issues in M&A, Corporate Finance and Capital Markets
The Ontario Securities Commission (OSC) published OSC Staff Notice 33-746 (Notice) on September 21, 2015.
The Notice focuses on registered firms and individuals directly overseen by the OSC describing the initiatives within the Compliance and Registrant Regulation Branch (CRR), notices published, rule amendments and regulatory action taken as a…
On November 7, 2013, the Ontario Securities Commission (OSC) published its 2013 Annual Summary Report for Dealers, Advisers and Investment Fund Managers. It contained, among other matters, information specific to investment fund managers (IFMs) including current trends in deficiencies and suggested practices to address them.
The deficiencies noted by the OSC with respect to…
