2019 and 2020 Compliance Report Card

The Compliance Report Card (Report Card) summarizes the findings that our compliance teams made in the course of their reviews of the compliance programs of BC-based portfolio managers (advisers), investment fund managers (IFMs), and exempt market dealers (EMDs) from April 1, 2018 to December 31, 2020

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Source: BRITISH COLUMBIA SECURITIES COMMISSION (BCSC)
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