In this bulletin:

  1. A Tale of Chilled Regulations: CSA Updates Expectations on Advisor Awards
  2. 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