To Register or Not to Register: A Primer for Ontario Investment Advisers
By EsqSocial Corporation 19/05/21
If you are an investment advisor registered by the OSC or other Canadian provincial regulator, you may have cast longing eyes at taking on a couple United States clients, yet also considered with some trepidation whether such a step requires registering with the Securities and Exchange Commission (“SEC”) under the United States Investment Advisers Act of 1940....
By: Hodgson Russ LLP