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Canada
2021 (5 Years)
Last online: No recent activity
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This company is currently Unproved.
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License
A Grade License
Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.
B Grade License
Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.
C Grade License
Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.
D Grade License
From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.
Get to know OGC Advisors
Company Information
Get to know OGC Advisors
OGC Advisors provides ongoing legal, compliance, and strategic guidance to investment advisers. Founded by former regulators and in-house attorneys, the firm acts as an outsourced general counsel, offering day-to-day support on a fixed-fee basis. Their services cover areas such as SEC and state registration, compliance program development and testing, regulatory examination support, contract and fund formation, marketing material review, and M&A due diligence. The firm's mission is to offer high-quality, practical, and responsive legal and compliance solutions to the investment management community.
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