In this bulletin:
- You’ve Activated Your Business Continuity Plan. What’s Next?
- CSA and OSC Extend Certain Deadlines for Registrants and Investment Funds and Postpose Certain Initiatives
- FINTRAC Signals Flexibility to Reporting Entities Affected by COVID-19
- CSA Proposes Rules to Address Financial Exploitation of Vulnerable Investors
- IIROC Fines TD Waterhouse $4 Million for Deliberate Non-Compliance with RDI Requirements
- 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