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Bulletin | A Pumpkin a Day Keeps the Goblins Away Edition | October 2022

In this bulletin:

  1. OSC Publishes its 2021-2022 Annual Report – Squad Ghouls
  2. Hocus Pocus Everyone Focus – Are you CFR-Compliant? Further Update on Regulatory Audits
  3. What’s Brewing? FSRA Launches Public Consultation on its Proposed 2023-24 Statement of Priorities
  4. OSC’s Fab-Boo-Lous Summary Report for Investment Fund and Structured Product Issuers
  5. Thrills and Chills – OSC Releases its Annual Summary Report for Registrants

In Brief: Accredited Investor Exemption Effectively Expanded in Ontario – No Bones About it ▪ A Book a Day Keeps the Monsters Away – IIROC Requests Expressions of Interest for Enhanced Proficiency Regime ▪ CSA Announces Intentions for OBSI – No Tricks

Important Reminders: Spooktacular Annual Fee Payments are Almost Due ▪ Don’t be Frightened – Individual Registrant Form Updates

BLG’s Resource Corner

News

Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | A Pumpkin a Day Keeps the Goblins Away Edition | October 2022

 

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https://aumlaw.com/wp-content/uploads/2020/03/00268628.pdf

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