British Columbia Securities Commission 2014 Annual Compliance Report Card

British Columbia Securities Commission Report

Exempt Market Dealers Beware! Get Ready Before the Regulators Come Knocking! In May 2014, the British Columbia Securities Commission (the BCSC) published its 2014 Annual Compliance Report Card (the Report Card). The Report Card summarized certain compliance deficiencies that were identified by the BCSC at BC-based portfolio managers, investment fund managers and exempt market dealers (EMDs) […]