The regulator has charged a fund manager with registration violations
OSC report details improvement, along with persistent compliance issues
OSC staff cited integrity concerns when recommending against registration for a man with a child porn conviction
Despite being acquitted, failure to disclose charge thwarts registration
Guidance aims to allow more tailored setups for compliance officers
Firm failed to meet filing, solvency requirements
The regulator found the firm breached registration rules by repeatedly missing deadlines
Fees and registration are the focus of two CSA campaigns this month
The registrations for Wells Asset Management System were terminated
The firm was also suspended in Alberta, B.C., Manitoba and Saskatchewan