In this bulletin:

  1. Rate your Priorities – OSC Releases Draft Statement of Priorities
  2. The Digital Transformation: OSC Report on Artificial Intelligence in Capital Markets
  3. Reporting Transparency on Air: Report on OBSI Oversight
  4. From Script to Screen: CIRO Releases First Phase of Rule Consolidation Project
  5. 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