In this bulletin:
- Compliance Café – OSC Staff Summary Report for Investment Fund and Structured Product Issuers
- Brewing Compliance Trends: Joint CSA and CIRO Review of Registrants’ Conflicts of Interest Practices
- CSA Year in Review; Fall’s Well that Ends Well
In Brief: CSA Turn Over a New Leaf and Repeal NI 81-104 ▪ Apple-y Ever After? FSRA Finalizes Fee Rule ▪ What a Re-leaf – CSA Proposes Expedited Shelf Prospectus Regime ▪ Sweater Late than Never: CIRO Proposes Clarifications to Proficiency Requirements
Important Reminders: Don’t Be a Bad Apple: Capital Markets Participation Fee Deadlines
News: IFIC Annual Leadership Conference – October 5 ▪ BLG Fall Webinar: Focus on CIRO ▪ We’re Moving This Fall!
BLG’s Resource Corner
Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | Month of Change Edition | September 2023