In this bulletin:

  1. Wakeup Call: CIRO Compliance Priorities for 2024
  2. Avoiding Nightmares – Updates to CSA Staff Notice on ESG Guidance for Funds
  3. Sleeping Soundly by Dealing with Fee Arrangement Conflicts
  4. Keepin’ up with KYP (or, How to Sleep Like a Baby)

In Brief: Keeping the Lights on: FSRA Releases Proposed Mortgage Licensing Suitability Guidance  ▪  No Time for a Power Nap: Additional FINTRAC Sanctions to Action  ▪  CSSB Proposed Disclosures for Night Owls  ▪  From Pillows to Penalties – Requirements re WFH for Registrants

Important Reminders: Filing Registrant Financial Statements by April 1 to Rest Assured  ▪  Counting Sheep and Filing Fees: Follow Up re SEDAR+ Profile Updates

BLG Resource Corner

Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | Sweet Dreams Edition | March 2024