In this bulletin:

  1. In the Dog House – Misleading Communications and Advisor Ranking Contests
  2. Summer Supervision: FSRA’s Plan for Credentialing Bodies
  3. 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


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