Dealer compliance departments are always busy and stressed. We can help when you are having difficulty finding the necessary time to devote to day-to-day regulatory compliance matters. We can tackle difficult one-off issues or help fill staffing gaps. Our only focus is on the Canadian investment and wealth management sector, and we have deep experience with the regulatory compliance issues relevant to dealer firms.

AUM Law provides registrants with regulatory compliance advice and services with an efficient, innovative, and cost-effective approach to help manage their compliance obligations. Contact us to ask about our innovative solutions and fixed-fee support plans.

February 8, 2024