Nov 30, 2023 | Events, News, Regulatory Compliance
Don’t change that dial; on November 30 AUM Law’s Chris Tooley participated as a speaker for the third year in a row at the Anti-Money Laundering and Anti-Terrorist Financing Training Session hosted by PMAC. Chris covered core concepts around money laundering and...
Nov 30, 2023 | Events, News
We are proud to have sponsored the Portfolio Management Association of Canada (PMAC) Annual Conference, alongside Borden Ladner Gervais (BLG) on November 14 at the Fairmont Royal York in Toronto. November 30, 2023
Nov 30, 2023 | Canadian Investment Regulatory Organization (CIRO), Events, News
AUM is happy to have sponsored the Conduct, Compliance and Legal Section (CCLS) Education Sub-committee of the Canadian Investment Regulatory Organization (CIRO) event, alongside Borden Ladner Gervais (BLG) on November 30. November 30, 2023
Nov 30, 2023 | Events, News
AUM Law’s founder Kevin Cohen had the pleasure of moderating the annual AIMA Canada Regulatory Forum, which discusses a number of current topics impacting compliance, registration and investment funds, as well as questions for the regulators on November 30. November...
Oct 31, 2023 | Investment Funds, News
We would like to congratulate the following AUM Law clients for their outstanding investment performance, which was recognized at the 16th Annual Canadian Hedge Fund Awards IP Asset Management Inc. (AIP Convertible Private Debt Fund LP) Ewing Morris & Co....
Sep 28, 2023 | Canadian Investment Regulatory Organization (CIRO), News
On September 20, William (Bill) Donegan spoke alongside Borden Ladner Gervais LLP (BLG) lawyers at a BLG’s Investment Management webinar. The webinar provided an update on what we see as the more significant developments brought on by the creation of the Canadian...
Aug 31, 2023 | Canadian Investment Regulatory Organization (CIRO), News
On September 20, William (Bill) Donegan will also be speaking alongside Borden Ladner Gervais LLP (BLG) lawyers at a BLG’s Investment Management webinar. The webinar will provide an update on what we see as the more significant developments brought on by the creation...
Feb 28, 2023 | Anti-Money Laundering, Counter-Terrorist Financing, Mortgage and Real Estate Investment Vehicles, News, Regulatory Compliance
Registered dealers and advisers are well versed in the AML requirements contained in the Proceeds of Crime (Money Laundering) and Terrorist Financing Act. The federal Department of Finance has recently released proposed amendments to regulations under the Act that...
Jan 31, 2023 | News, Regulatory Compliance
On December 16, 2022, the OSC announced the members of the Registrant Advisory Committee (RAC) for the 2023-2024 term. The RAC is composed of members representing the different registration categories and business models overseen by the OSC, including firms with...
Nov 30, 2022 | Events, News
AUM Law is proud to sponsor the Q Wealth Partners National Conference held at the St. Regis Hotel in Toronto on December 7-9. AUM’s very own William (Bill) Donegan will participate as a speaker on December 9, to discuss the topic of SRO Consolidation. November 30,...
