In this bulletin:

  1. Multilateral Instrument 93-101 Derivatives: Business Conduct – A Labyrinth of Compliance Obligations
  2. The Witching Hour – AML/ATF Obligations for Mortgage Lenders are Here
  3. Reporting on Diversity – A Spellbinding Challenge

In Brief: Break out the Halloween Brooms: Regulators Begin Focused Compliance Sweeps  ▪  Haunted Housekeeping: AMF Approves Delegation of Powers to CIRO  ▪  Safely Navigating Financial Complaints – Single External Complaints Body Named  ▪  Lurking Below the Surface – OSC Proposes Permanent Exemption from the Underwriting Conflicts Disclosure Requirements  ▪  Update on Continuous Disclosure Amendments for Non-Investment Fund Issuers – Compliance Spells and Potions

Important Reminders:Frighteningly Close to Deadline to File Capital Markets Participation Fee Calculation Forms

News: Movin’ and Shakin’ We’ve Moved! ▪ 2023 Canadian Hedge Fund Awards ▪ Watching out for Goblins and Invitations

BLG’s Resource Corner

Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | Ghoulishly Good Governance Edition | October 2023