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ARTICLE · 15 FEBRUARY 2008

Registrant Regulation and Compliance Alert - Recent Compliance Issues

Borden Ladner Gervais LLP
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Two recent compliance-related matters affect advisers, dealers and/or fund managers

CanadaCorporate/Commercial Law
BLG'S Investment Management Group
BLG'S Investment Management Group
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Two recent compliance-related matters affect advisers, dealers and/or fund managers.

For ONTARIO REGISTERED ADVISERS and FUND MANAGERS:

2008 Ontario Securities Commission Adviser and Fund Manager Compliance Risk Assessment Questionnaire

The Compliance team of the Ontario Securities Commission uses a risk assessment model for advisers and fund managers to assist staff in focusing their compliance field review efforts in the most effective and efficient manner. A critical component of the risk assessment model is information from and about registrants.

The Commission has asked advisers in the categories of investment counsel and portfolio managers (ICPMs) and fund managers to complete a new risk assessment questionnaire with information that is current as at DECEMBER 31, 2007. These questionnaires are similar to the questionnaires circulated in 2004. If your firm is registered in Ontario as

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