Regulator wants to raise awareness of AdvisorReport during Fraud Prevention Month
Mandatory registration has given the SEC its first comprehensive look at advisors to these types of funds.
Investment House co-founders failed to manage conflicts of interest, says OSC
Provincial regulators will adopt two different models for registering “non-resident” fund managers
Mutual recognition of advisors will take effect July 6
Reasons given to individuals will now be shared with firms
Sternberg, Parkwood and Philco banned from registration
Two fund manager registration models have been proposed by regulators
Questions about proper registration concerning Daniel Sternberg, Parkwood GP and Philco Consulting were uncovered during a hedge fund sweep in 2009
Some Canadian advisors will have to register in the U.S. for the first time