Insights
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Bulletin | FIFA World Cup Edition | November 2022
This month to help end the year with on a winning note, please read the final articles of this year from the AUM team. We wish all our readers happy holidays, along with an excellent World Cup experience!
OSC Seeks Feedback on 2023-24 Statement of Priorities; It’s Good to Have Goals
The Ontario Securities Commission (OSC) has released its most recent draft statement of priorities (SoP) in OSC Notice 11-797 – Request...
CSA Consults on Access to Real-Time Market Data; No Pain, No Gain
Earlier this month, the Canadian Securities Administrators (CSA) released CSA Consultation Paper 21-403 Access to Real-Time Market Data,...
OSC Announces New Fee Rules as of April 2023 (or you Really Do Have to Pay to Play)
The Ontario Securities Commission (OSC) recently announced that new OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees...
Shooting for the Stars – FSRA Proposes to Eliminate DSCs for Segregated Funds
On November 25, the Financial Services Regulatory Authority of Ontario (FSRA) proposed amendments to the existing Unfair or Deceptive Acts...
CSA Formally Recognize New SRO and Approve New CIPF; One Team, One Dream
The CSA recently published notices that recognize the New Self-Regulatory Organization of Canada (New SRO) and approve the Canadian...
Important Reminders: Upcoming Deadlines and Resources – Fast and Furious
A few impending filing deadlines that we thought would be helpful to note from past bulletins for your reference: December 1 (yes,...
BLG’s Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: Privacy Commissioner decision provides...
Q Wealth Partners National Conference – December 7-9
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...
AUM Law Speaks at the PMAC AML and ATF Training Session – December 6
AUM Law’s Chris Tooley will be participating as a speaker for the second year in a row at the Anti-Money Laundering and Anti-Terrorist...
OSC Publishes its 2021-2022 Annual Report – Squad Ghouls
On October 17, 2022, the Ontario Securities Commission (OSC) published its 2021-2022 Annual Report - Responding to Change; Preparing for...
Hocus Pocus Everyone Focus – Are you CFR-Compliant? Further Update on Regulatory Audits
Registrants should be mindful of an uptick in regulatory scrutiny relating to conflicts of interest, as we first noted in our June 2022...
What’s Brewing? FSRA Launches Public Consultation on its Proposed 2023-24 Statement of Priorities
On October 13, 2022, the Financial Services Regulatory Authority of Ontario (FSRA) launched a public consultation on its proposed...
OSC’s Fab-Boo-Lous Summary Report for Investment Fund and Structured Product Issuers
On October 19, 2022, the OSC published Staff Notice 81-733 Summary Report for Investment Fund and Structured Product Issuers (the Report)....
Thrills and Chills – OSC Releases its Annual Summary Report for Registrants
On October 14, 2022, the Compliance and Registrant Regulation (CRR) Branch of the Ontario Securities Commission (OSC) published its annual...
Accredited Investor Exemption Effectively Expanded in Ontario – No Bones About it
On September 25, 2022, the Ontario Securities Commission (OSC) announced that it had adopted an exemption from the prospectus requirements...