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Bulletin | A Pumpkin a Day Keeps the Goblins Away Edition | October 2022
This month, we discuss the recent OSC Annual Report, along with two OSC staff publications – one on registrant regulation and the other on investment fund issues, and we also provide an update on the ongoing CFR conflict sweeps, amongst other regulatory initiatives.
Déjà vu – Titles, Titles and More Titles – Proposed Amendments to Draft FSRA Guidance
The Financial Services Regulatory Authority of Ontario (FSRA) has released additional proposed changes to its draft Financial...
FSRA Consults on Consumer Advisory Panel
The Financial Services Regulatory Authority of Ontario’s (FSRA’s) Consumer Advisory Panel provides input to FSRA on its regulatory...
Independent Evaluation of OBSI
Professor Poonam Puri has been appointed by the board of The Ombudsman for Banking Services and Investments (OBSI) to undertake an...
Canadian Companies Appointing More Women to Boards and Executive Roles
On November 4, 2021, the Canadian Securities Administrators (CSA) published CSA Multilateral Staff Notice 58-313, its seventh annual...
CFA Institute Creates Voluntary ESG Disclosure Standards for Investment Products
On November 1, 2021, CFA Institute issued its Global Environmental, Social and Governance (ESG) Disclosure Standards for Investment...
Timeline for the New Self-Regulatory Framework
On November 18, 2021 the Canadian Securities Administrators (CSA) issued a news release announcing progress on the creation of a new...
OSC Releases Proposed Statement of Priorities
On November 18, the Ontario Securities Commission (OSC) published OSC Notice 11-794 Statement of Priorities seeking comment on its draft...
Pre-Registration Activities and Titles – Watch Those Names
We assist many businesses that are obtaining registration as an exempt market dealer, adviser and/or investment fund manager for the first...
Check Your Titles Prior to Dec 31, 2021
As previously mentioned in our bulletins, as part of the client-focused reforms to National Instrument 31-103 Registration Requirements,...
Capital Markets Participation Fee – December 1 Filing Deadline
As we noted in last month’s bulletin, Form 13-502F4 – Capital Markets Participation Fee Calculation is due to be filed with the OSC by...
Exempt Trade Reports for Funds Due in January – Don’t Delay; Prepare to File Today
National Instrument 45-106 – Prospectus Exemptions (NI 45-106) exempts certain distributions of securities from the prospectus...
BLG Webinar November
On November 18, Richard Roskies will be speaking alongside BLG lawyers at the BLG’s Investment Management webinar, for which you will have...
PMAC AML Training
AUM Law’s very own Chris Tooley will be presenting to a large audience of PMAC member firms on November 29 on the subject of AML training....
Important Reminders: Capital Markets Participation Fee is Due to be Filed Calculation
Form 13-502F4 – Capital Markets Participation Fee Calculation is due to be filed with the OSC no later than December 1, 2021. This...
FCAC Consults on New Complaint-Handling Procedures for Banks
The Financial Consumer Agency of Canada (FCAC) has released a proposed Guideline on Complaint-Handling Procedures for and Authorized...