In this bulletin:

  1. Compliance Café – OSC Staff Summary Report for Investment Fund and Structured Product Issuers
  2. Brewing Compliance Trends: Joint CSA and CIRO Review of Registrants’ Conflicts of Interest Practices
  3. CSA Year in Review; Fall’s Well that Ends Well

In Brief: CSA Turn Over a New Leaf and Repeal NI 81-104  ▪  Apple-y Ever After? FSRA Finalizes Fee Rule   What a Re-leaf – CSA Proposes Expedited Shelf Prospectus Regime    Sweater Late than Never: CIRO Proposes Clarifications to Proficiency Requirements

Important Reminders: Don’t Be a Bad Apple: Capital Markets Participation Fee Deadlines

News: IFIC Annual Leadership Conference – October 5  ▪  BLG Fall Webinar: Focus on CIRO  ▪  We’re Moving This Fall!

BLG’s Resource Corner

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