Insights
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Bulletin | Paws & Reflection Edition | August 2023
Whether you are enjoying the last days of the summer heat or cooling off under the night sky, we hope you enjoy this abbreviated summer bulletin edition.
Important Reminders: New Year’s Survey: Investment Fund Managers
By the time you are reading this reminder, investment fund managers registered in Ontario will have received the 2023 Investment Fund...
OSC Announces New Registrant Advisory Committee Members – AUM’s Richard Roskies Included
On December 16, 2022, the OSC announced the members of the Registrant Advisory Committee (RAC) for the 2023-2024 term. The RAC is composed...
AUM Law Team Members Announcements
We are delighted to welcome Ruoxi Cai as a Lawyer to AUM Law. Ruoxi’s practice focuses on securities law, specifically regulatory...
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,...
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)....