In this bulletin:
- The RAQ is Back on Track
- OSC Issues Progress Report on Its Burden Reduction Initiatives
- OSC Staff Share Compliance Program Updates during PMAC’s Spring Regulatory and Compliance Webcast
- FSRA Issues Guidance Concerning Mortgage-Based Investments during Market Disruptions
- IIROC Publishes Its Annual Enforcement Report
- CSA Renews Exemptive Relief from Filing Deadlines for Investment Funds, Other Issuers, Registrants and Certain Other Capital Markets Participants
FAQ Corner: May an associate advising representative work remotely or in a one-person branch office?
In Brief: OSC Takes Enforcement Action against Representative Who Agreed to Serve as Executor for Client’s Will ▪ Issuers’ Undertakings to ASC Highlight the Importance of Effective Controls to Ensure Compliance with Prospectus Exemptions
News & Events: Updated Real Estate and Mortgage Investment Vehicles Publications ▪ AUM Law Speaks at PMAC Spring Regulatory and Compliance Webcast
Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> Monthly Bulletin | Taking Care of Business Edition | May 2020