Staff of the Compliance team at the Ontario Securities Commission (OSC) recently published OSC Staff Notice 33-729 Marketing Practices of Investment Counsel/Portfolio Managers [link available here]. The Staff Notice describes the results of OSC Compliance staff’s recent focused review (sweep) of the marketing practices of firms registered as investment counsel and portfolio manager (ICPMs) and highlights practices that staff believe are inappropriate and should be modified.

type Investment Management Advisory - November 2007 - Ontario Securities Commission Staff Notice Released on Marketing Practices of Registered Advisers