In this bulletin:

  1. You’ve Activated Your Business Continuity Plan. What’s Next?
  2. CSA and OSC Extend Certain Deadlines for Registrants and Investment Funds and Postpose Certain Initiatives
  3. FINTRAC Signals Flexibility to Reporting Entities Affected by COVID-19
  4. CSA Proposes Rules to Address Financial Exploitation of Vulnerable Investors
  5. IIROC Fines TD Waterhouse $4 Million for Deliberate Non-Compliance with RDI Requirements
  6. Corporations Canada Seeks Comments on Potential Regulations for Corporate Registers of Individuals with Significant Control

FAQ Corner: In light of the COVID-19 pandemic, what should we do with respect to our suitability determination and “know-your-client” (KYC) obligations?

In Brief: No Jail Time for Mr. Tiffin After All, But His Conviction Stands

News & Events: AUM Law Launched a New Website

Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> Monthly Bulletin | Spring Edition | March 2020