In this bulletin:
- In the Dog House – Misleading Communications and Advisor Ranking Contests
- Summer Supervision: FSRA’s Plan for Credentialing Bodies
- Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money
In Brief: Is it Hot in Here? CSA to Review Exchange-Traded Funds ▪ Trade Matching Guidelines Date Extended – Making Every Minute Count ▪ FSRA’s Keeping the Pressure on Unlicensed Persons ▪ Pawsitive Updates to CIRO’s AML Guidance
News
BLG’s Resource Corner
Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | Paws & Reflection Edition | August 2023