In this bulletin:
- A Tale of Chilled Regulations: CSA Updates Expectations on Advisor Awards
- Heating up Financial Disputes: Proposed Changes for Binding Independent Dispute Resolution Service
In Brief: Snow and Settling – CSA Finalizes Changes to Trade Matching Rule ▪ CSA Releases Results of Frosty Annual Systemic Risk Survey
Important Reminders: Annual Exempt Trade Reports for Investment Fund Issuers – Avoid Frostbite
BLG’s Resource Corner
Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | End of Year Edition | December 2023