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Fund Managers Ontario Securities Commission (OSC)

Stikeman Elliott LLP

OSC Codifies Exemption from OEO Trailer Ban

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The Ontario Securities Commission (“OSC”) recently published OSC Rule 81-510 Dealer Rebates of Trailing Commissions (the “Rule”), which codifies temporary exemptive relief from the order-execution only (“OEO”) trailer ban...more

Stikeman Elliott LLP

OSC Publishes Summary Report for Dealers, Advisers and Investment Fund Managers for 2023-2024

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The Registration, Inspections and Examinations Division (“RIE”) of the Ontario Securities Commission (“OSC”) has released its annual Summary Report for Dealers, Advisers and Investment Fund Managers (the “Report”) for the...more

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OSC Publishes Annual Compliance Report for Dealers, Advisers and Investment Fund Managers for 2022-2023

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The Ontario Securities Commission (“OSC”) recently released its annual Summary Report for Dealers, Advisers and Investment Fund Managers (the “Report”), prepared by the Compliance and Registrant Regulation Branch, for the...more

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