Mar 31, 2020 | Featured
In this bulletin:
- You’ve Activated Your Business Continuity Plan. What’s Next?
- CSA and OSC Extend Certain Deadlines for Registrants and Investment Funds and Postpose Certain Initiatives
- FINTRAC Signals Flexibility to Reporting Entities Affected by COVID-19
- CSA Proposes Rules to Address Financial Exploitation of Vulnerable Investors
- IIROC Fines TD Waterhouse $4 Million for Deliberate Non-Compliance with RDI Requirements
- 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
Feb 28, 2020 | Featured
In this bulletin:
- OSC Goes Its Own Way as CSA Finalizes Rule on Embedded Commissions
- If They Build It (Again), Will They Come? The CSA Proposes a Harmonized, Start-up Crowdfunding Regime
- CSA Re-Proposes Rules on Non-GAAP and Other Financial Measures Disclosure
- OPC Consults on Regulation of Artificial Intelligence
- Our Client-Focused Reforms in a Nutshell Publication Is Ready
- 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
Jan 31, 2020 | Client-Focused Reforms (CFRs), Featured, Regulatory Compliance
In this bulletin:
- Client-Focused Reforms: A Closer Look at the Misleading Communications, RDI, Compliance Training and Record-Keeping Rules
- IIROC and FINRA Publish Their Compliance Priorities for 2020
- Get Ready to RAQ and Roll
- IIROC Fines Registered Representative for His Shoulda Woulda Could KYC
- ASC Schools Registrants on Compliance with OM Exemption
- 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
