Category: Featured

Bulletin | Asteroid Edition | June 2023

In this bulletin: FSRA Consults Further on the UDAP Rule and Impactful Fee Choices Federal Review of AML Regime with Global Implications CIRO’s Annual Priorities Released: Star Map Set for the New Regulator In Brief: CSA Launches TCR Implementation Committee ▪ CSA...

Bulletin | Victoria Day Edition | May 2023

In this bulletin: RegTech 24/7 – OSC Releases First Report on TestLab What’s on the AMF’s Agenda this Year? 2023-2024 Annual Statement of Priorities Published It’s Business Plan Season – FSRA’s Annual Plan BCSC Annual Report Card Illuminates Issues with Conflicts In...

Bulletin | April Showers Edition | April 2023

In this bulletin: Better Days Ahead: Proposed Amendments Regarding Diversity Disclosure AMPed for Spring: FSRA Proposes Guidance on Administrative Monetary Penalties FSRA Proposes Guidance to Cut Down Mortgage Fraud Three more Sakura Seasons, then Total Cost Reporting...

Bulletin | March Break Edition | March 2023

In this bulletin: Don’t Stay Away too Long – Revised Guidance Published for Issuers Relying on the Offering Memorandum Prospectus Exemption Watch that Spring Break Behaviour – OSFI Issues Guideline on Culture and Behaviour Risk Eat, Beach, Sleep, Repeat – New SRO...

Bulletin | Family Day Edition | February 2023

In this bulletin: Taking Care of One Another – New SRO Releases Proposal on Distributing Funds to Harmed Investors Conflicts of Interest Requirements – More Than Once Per Year In Brief: In Sync – Ontario’s Ownership Transparency Obligations Now in Force ▪ A...

Bulletin | Penguin Awareness Edition | January 2023

In this bulletin: Changes to Offering Memorandum Prospectus Exemption – Will New Issues be Grounded? Ontario’s Exempt Market (But Not Penguins) See Continued Growth FSRA Announces Consultation on Proposed Guidance on IT Risk Management – Filtering Out the Salt...

BLG and AUM Law Expand Investment Management Expertise

Bill Donegan joins AUM Law as senior compliance consultant Toronto (August 8, 2022) – AUM Law and Borden Ladner Gervais LLP (BLG) are delighted to welcome Bill Donegan to AUM Law as senior compliance consultant. Bill Donegan is a seasoned lawyer and senior...

Bulletin | Star Wars Edition | May 2022

In this bulletin:  Shining a Spotlight on Fees – Total Cost Reporting is Here  Kicking Off a New Regime – Application for Recognition of New Self-Regulatory Organization  Investor Protection Funds in the Limelight – Application for Approval of the New...

Bulletin | Get Ready for Warmer Weather Edition | April 2022

In this bulletin: A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers It’s Still Ongoing – OSC Continues with its Conflict of Interest Focused Reviews Improved ESG Disclosure in Scope as CSA Targets Changes to National...

Bulletin | Daylight Saving Time Debate Edition | March 2022

In this bulletin: A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers FSRA Releases New Approach Guidance for Principles – Based Regulation at All Times Make Time for IIROC’s Compliance Priorities Report A Devil of a Time:...