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Note added at 8 mins (2006-11-20 12:24:25 GMT)
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We also identified issues in numerous other areas at ICPMs, such as: monitoring of subadvisers, statement of client’s portfolio,
allocation of commissions, conflicts of interest, cross transactions, soft dollar issues, related registrant disclosure, annual consent to
trade securities of related and connected issuers, compliance function, adhering to the terms and conditions of registration, insurance coverage, exempt securities issues, early warning and insider trading reporting, proxy voting issues, United Nations Suppression of Terrorism monthly reporting, internal controls, segregation of duties, trust accounts, agreements with service providers, and confidentiality agreements.
http://osc.gov.on.ca/Regulation/Rulemaking/Current/Part3/cmr...