Experience at an investment dealer may not qualify an applicant for AR registration at a portfolio manager
Genus Capital failed to file reports, heed BCSC staff guidance
Former BMO Nesbitt Burns rep acted as a portfolio manager without registration
Portfolio managers’ obligation to provide independent dispute resolution services must be met by Sept. 28
Delcourt and Stewart conducted their business as portfolio managers without proper registration
Independent Franchise Partners replaces Morgan Stanley
Regulator notes an increase in the number of managers that are deficient in meeting the minimum requirements
Aletheia Research to advise on Imperial U.S. Equity Pool
Dublin-based firm to oversee all AGF value mandates
Regulator recommends firms adopt key practices