Firm enhances its offering with the addition of portfolio managers
In a recent review, most exempt market dealers and portfolio managers were issued deficiency reports
Order suspends firm’s exempt market dealer registration and restricts its portfolio manager registration
Expansion of services to portfolio managers called a natural extension of Credential’s business
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