In this bulletin:
- Rate your Priorities – OSC Releases Draft Statement of Priorities
- The Digital Transformation: OSC Report on Artificial Intelligence in Capital Markets
- Reporting Transparency on Air: Report on OBSI Oversight
- From Script to Screen: CIRO Releases First Phase of Rule Consolidation Project
- Stay Tuned: FSRA Seeks Consultation on Proposed Statement of Priorities for FY 2024-2025
In Brief: Behind the Scenes: Shorter Consultation Periods Proposed ▪ Compliance Unplugged: OSC Proposes Amendments to Fee Rules for Non-Compliant Firms and Restricted Dealers ▪ CSA and CIRO Responses on Short Selling Consultation – Reality TV Check
Important Reminders: Must See TV – Annual Filing Exempt Trade Reports Deadline Quickly Approaching
News: AUM Law Spoke at the PMAC AML and ATF Training Session ▪ Proud Repeat Sponsor of the PMAC National Conference ▪ 2023 CCLS Education Sub-Committee Event ▪ Canada’s Annual AIMA’s Regulatory Forum
BLG’s Resource Corner
Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> AUM Law Bulletin | The Telly Edition | November 2023