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Blog Post | Timely Disclosure

OSC publishes Suitability Compliance Sweep Results

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On May 30, 2013, the Ontario Securities Commission published its findings for the 2012/2013 focussed review of 87 firms registered in the exempt market dealer and portfolio manager categories.  The focus was on firms’ compliance with their know-your-product, know-your-client and suitability obligations. Findings The more prevalent breaches were found at exempt market dealers (EMDs), which... Continue Reading