In this bulletin:

  1. Taking Care of One Another – New SRO Releases Proposal on Distributing Funds to Harmed Investors
  2. Conflicts of Interest Requirements – More Than Once Per Year

In Brief: In Sync – Ontario’s Ownership Transparency Obligations Now in Force ▪ A Holiday for Everyone – Temporary Late Fee Exemptions in Ontario ▪ Additional Information on Offering Memorandum Prospectus Exemptions – Getting Everyone Together ▪ Not Just Another Manic Monday – Cessation of CDOR has Implications for Some Registrants ▪ Promises, Promises – CSA Enhances Requirements for Crypto Asset Trading Platforms ▪ Potential Extension of FINTRAC Requirements to the Mortgage Industry – There’s no Place Like Home

Important Reminders: SEDAR+ Will be Here June 13 – Adding to the Family ▪ Reporting Up – CCO Reports for Many Firms Due Soon

BLG’s Resource Corner


Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | Family Day Edition | February 2023