Insights
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Bulletin | Halloween Edition | October 2020
In this month’s bulletin, we discuss Ontario’s proposed changes to the Business Corporations Act, FSRA’s priorities for the coming year, the CSA’s guidance for issuers on reporting COVID-19 impact, and more.
What Are Some Regulatory and Compliance Factors to Consider When Setting up a Pooled Investment Vehicle?
Watch our new FAQ video to learn more about the legal, regulatory and compliance factors to consider when setting up an pooled investment...
Reminder: OSC Participation Fee Calculation and Payment
It’s time for Ontario-registered firms, unregistered exempt international dealer/adviser firms, and unregistered investment fund managers...
Ontario Proposes Changes to Business Corporations Act
On October 6, the Government of Ontario introduced Bill 213 Better for People, Smarter for Business Act, 2020 (the Bill). If enacted as...
FSRA Publishes 2021-22 Statement of Priorities for Comment
On October 13, the Financial Services Regulatory Authority of Ontario (FSRA) published for comment its proposed 2021-22 Statement of...
Kik Back in the News after Settling U.S. Enforcement Proceedings Regarding Its Token Offering
Readers might recall that in August 2019, we reported that the U.S. Securities and Exchange Commission (SEC) was taking enforcement action...
CSA Provides Guidance to Issuers on Reporting COVID-19 Impact
On October 29, the Canadian Securities Administrators (CSA) published their biennial report (Report) on staff reviews of reporting...
OSC and IIROC Looking for Hot Tips on Abusive Trading
On October 1, the Ontario Securities Commission (OSC) and Investment Industry Regulatory Organization of Canada (IIROC) published joint...
FSB Finalizes Its Cyber Incident Recovery and Response Toolkit
In April, we wrote that the Financial Stability Board (FSB) was seeking comment on 46 recommended cyber incident response and recovery...
PMAC Annual Conference November 17 – See You (Virtually) There!
AUM Law is proud to sponsor the Portfolio Management Association of Canada’s National Conference, Hindsight is 2020: The Year in Review...
Get Your Copy of AUM Law’s Updated Guide to the Client-Focused Reforms
In October 2019, the Canadian Securities Administrators (CSA) finalized their client-focused reforms to National Instrument 31-103...
CSA FAQ Guidance on Client-Focused Reforms – Part 2
On September 28, the Canadian Securities Administrators (CSA) published guidance in the form of responses to frequently asked questions...
CSA Publishes FAQ Guidance on the Client-Focused Reforms
On September 28, the Canadian Securities Administrators (CSA) published guidance in the form of responses to frequently asked questions...
OSC’s CRR Branch Publishes Its Annual Report on Registrants
On September 14, staff of the Compliance and Registrant Regulation (CRR) Branch at the Ontario Securities Commission (OSC) published their...
CSA Proposes Changes to Offering Memorandum Prospectus Exemption
On September 17, the Canadian Securities Administrators (CSA) published for comment proposed changes to the offering memorandum (OM)...
CSA Ban on Certain Trailing Commissions to Take Effect in June 2022
On September 17, the Canadian Securities Administrators (CSA) published final rule amendments (Amendments) to National Instrument 81-105...