Category: Featured

Bulletin | Summer – We’re Halfway There! Edition | June 2021

In this bulletin: Giving the Green Light to ESG Disclosure – CFA Institute Publishes Draft ESG Disclosure Standards for Investment Products Social Media and Market Manipulation MFDA’s Initiative on Improving Client Account Transfers – Will CSA Follow Suit? Outside...

Bulletin | To the Future and Beyond Edition | May 2021

In this bulletin: BLG Transaction – New Beginnings All Together Now – OSC Joins DSC Ban Titles, Titles and More Titles – Notice of Changes and Request for Further Comment on Financial Professionals Title Protection Rule Important Reminders: CFR Requirements...

BLG acquires AUM Law, shifting the legal landscape in Canada

Deal Provides Investment Industry with Flexible, Innovative Approach to Manage Risk Toronto, ON – May 6, 2021 – AUM Law today announced the acquisition of our firm by Borden Ladner Gervais LLP (BLG). The transaction combines BLG’s deep expertise and long-standing...

Bulletin | Hello Spring Edition | April 2021

In this bulletin: Updates on Amendments re Syndicated Mortgages FINTRAC Publishes Guidance on Politically Exposed Persons and Heads of International Organizations ASC Notice and Request for Comment re Blanket Order 31-536 Alberta Small Business Finder’s Exemption CSA...

Bulletin | Winter’s End Edition | February 2021

In this bulletin: Interview with Richard Roskies regarding Client Focused Reforms and Know-Your-Product Provisions Outside Activities 2.0: Potential Burden Reduction Comes to Reporting of Registrant Information FAQ Corner: Activities 2.0: Potential Burden Reduction...

Bulletin | New Year Edition | January 2021

In this bulletin: Ontario’s Capital Markets Modernization Taskforce Releases Final Report CSA Publishes More FAQ Guidance on the Client-Focused Reforms FINTRAC Updates its Guidance on Conducting AML Risk Assessments  Reviewing Fund Custodian Arrangements FAQ Corner:...

Bulletin | 2020 Year-End Edition | December 2020

In this bulletin: Regulatory Highlights from 2020 OSC Publishes Corporate Finance Branch Report Reminder! Investment Funds Have till January 30 to File Reports of Exempt Distribution OSC Seeks Comment on Proposed Priorities for 2021-22 MFDA and IIROC Publish Proposed...

Bulletin | Halloween Edition | October 2020

In this bulletin: Reminder: OSC Participation Fee Calculation and Payment Ontario Proposes Changes to Business Corporations Act CSA Guidance on Client-Focused Reforms – Part 2 FSRA Publishes 2021-22 Statement of Priorities for Comment Kik Back in the News After...

Bulletin | Roll up Your Sleeves Edition | September 2020

In this bulletin: CSA Publishes FAQ Guidance on Client-Focused Reforms OSC’s CRR Branch Publishes Its Annual Report on Registrants CSA Proposes Changes to Offering Memorandum Prospectus Exemption CSA Ban on Certain Trailing Commissions to Take Effect in June 2022 CSA...

Bulletin | Work from Wherever Edition | August 2020

In this bulletin: CSA Finalizes Amendments to Syndicated Mortgages Regime, While OSC and FSRA Publish Local Rules and Guidance for Comment FSRA Consults on Rules and Guidance for the Use of Financial Advisor and Financial Planner Titles Ontario Consults on on...

Bulletin | Dive-in Edition | July 2020

In this bulletin: Ontario’s Capital Markets Modernization Task Force Releases Consultation Report CSA Publishes Guidance on Flexible CCO Arrangements Watch Out or Wash Out: Coinsquare Executives Learn That Innovation Isn’t a Free Pass to Violate Securities Laws...

Bulletin | Staycation Edition | June 2020

In this bulletin: CSA Consults on Potential Reforms to SRO Framework CSA Members Say They’ve Made It Easier to Register Client Relationship Management Specialists Federal Court of Appeal Rules on Constitutionality and Application of Canada’s Anti-Spam Legislation OSC...

Bulletin | Taking Care of Business Edition | May 2020

In this bulletin: The RAQ is Back on Track OSC Issues Progress Report on Its Burden Reduction Initiatives OSC Staff Share Compliance Program Updates during PMAC’s Spring Regulatory and Compliance Webcast FSRA Issues Guidance Concerning Mortgage-Based Investments...