Category: Featured

Bulletin | Spring Edition | March 2020

In this bulletin:

  1. You’ve Activated Your Business Continuity Plan. What’s Next?
  2. CSA and OSC Extend Certain Deadlines for Registrants and Investment Funds and Postpose Certain Initiatives
  3. FINTRAC Signals Flexibility to Reporting Entities Affected by COVID-19
  4. CSA Proposes Rules to Address Financial Exploitation of Vulnerable Investors
  5. IIROC Fines TD Waterhouse $4 Million for Deliberate Non-Compliance with RDI Requirements
  6. Corporations Canada Seeks Comments on Potential Regulations for Corporate Registers of Individuals with Significant Control

FAQ Corner: In light of the COVID-19 pandemic, what should we do with respect to our suitability determination and “know-your-client” (KYC) obligations?

In Brief: No Jail Time for Mr. Tiffin After All, But His Conviction Stands

News & Events: AUM Law Launched a New Website

Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> Monthly Bulletin | Spring Edition | March 2020

Bulletin | Leap Year Edition | February 2020

In this bulletin:

  1. OSC Goes Its Own Way as CSA Finalizes Rule on Embedded Commissions
  2. If They Build It (Again), Will They Come? The CSA Proposes a Harmonized, Start-up Crowdfunding Regime
  3. CSA Re-Proposes Rules on Non-GAAP and Other Financial Measures Disclosure
  4. OPC Consults on Regulation of Artificial Intelligence
  5. Our Client-Focused Reforms in a Nutshell Publication Is Ready
  6. SEC Commissioner Pierce Leapfrogs Her Commission with Proposed Safe Harbour for Token Offerings

FAQ Corner: What are some things to watch out for when we describe our firm and its representatives in marketing materials or on social media?

In Brief: Is This the Very Model of a Modern SRO?

Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> Monthly Bulletin | Leap Year Edition | February 2020

Bulletin | Year of the Rat Edition | January 2020

In this bulletin:

  1. Client-Focused Reforms: A Closer Look at the Misleading Communications, RDI, Compliance Training and Record-Keeping Rules
  2. IIROC and FINRA Publish Their Compliance Priorities for 2020
  3. Get Ready to RAQ and Roll
  4. IIROC Fines Registered Representative for His Shoulda Woulda Could KYC
  5. ASC Schools Registrants on Compliance with OM Exemption
  6. Like Rats in a Maze: Navigating the Application of Securities Laws to Crypto Assets

FAQ Corner: Can an advising representative act as the executor of an estate on behalf of a client?

In Brief: CSA Consults on Access Equals Delivery Model for Disclosure Documents

News and Events: Lexology Recognizes AUM Law Again for Thought Leadership in Our Publications

Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> Monthly Bulletin | Year of the Rat | January 2020