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BCSC Finds Increased Deficiencies in Compliance Among Portfolio Managers

by Barbara Hendrickson | Dec 1, 2018

The British Columbia Securities Commission (BCSC) reports that it has found an increased number of deficiencies in compliance among portfolio managers during 2018. The BCSC published these findings in its 2018 BCSC Annual Compliance Report Card (the Report Card). In...

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BAX practises in the securities and financial services regulatory areas and has acted as counsel to major Canadian and American corporations, market participants.

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