In this bulletin:

  1. The RAQ is Back on Track
  2. OSC Issues Progress Report on Its Burden Reduction Initiatives
  3. OSC Staff Share Compliance Program Updates during PMAC’s Spring Regulatory and Compliance Webcast
  4. FSRA Issues Guidance Concerning Mortgage-Based Investments during Market Disruptions
  5. IIROC Publishes Its Annual Enforcement Report
  6. 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