OSC Notes Deficiencies of Investment Fund Managers in Annual Summary Report

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 IFMs... Continue Reading