In this bulletin:
- Multilateral Instrument 93-101 Derivatives: Business Conduct – A Labyrinth of Compliance Obligations
- The Witching Hour – AML/ATF Obligations for Mortgage Lenders are Here
- Reporting on Diversity – A Spellbinding Challenge
In Brief: Break out the Halloween Brooms: Regulators Begin Focused Compliance Sweeps ▪ Haunted Housekeeping: AMF Approves Delegation of Powers to CIRO ▪ Safely Navigating Financial Complaints – Single External Complaints Body Named ▪ Lurking Below the Surface – OSC Proposes Permanent Exemption from the Underwriting Conflicts Disclosure Requirements ▪ Update on Continuous Disclosure Amendments for Non-Investment Fund Issuers – Compliance Spells and Potions
Important Reminders:Frighteningly Close to Deadline to File Capital Markets Participation Fee Calculation Forms
News: Movin’ and Shakin’ We’ve Moved! ▪ 2023 Canadian Hedge Fund Awards ▪ Watching out for Goblins and Invitations
BLG’s Resource Corner
Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | Ghoulishly Good Governance Edition | October 2023