Insights
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Bulletin | Wellness Edition | Summer 2022
In reading this month’s bulletin, we also hope you find some comfort in our carefully curated regulatory summaries outlining annual reports from IIROC, the CSA and the OSC, proposals to modernize the corporate governance framework for financial institutions, and more below.
IIROC Releases Draft Competency Profiles for Directors, Executives, UDPs, CCOs and CFOs
On August 31, the Investment Industry Regulatory Organization of Canada (IIROC) released another consultation paper with respect to draft...
Québec Consults on the Complaint Handling Process
On September 9, the Autorité des marchés financiers (AMF) released a draft regulation relating to the processing of complaints in the...
CPAB Consults on its Disclosure of Audit Firm Reviews
The Canadian Public Accountability Board (CPAB) is seeking comments on potential changes to the type of information it discloses about the...
A Trusted Contact Person and a POA
On July 15, 2021, the Canadian Securities Administrators released Notice of Amendments to National Instrument 31-103 Registration...
Canadian Securities Regulators Announce Launch of Refreshed Website
On September 13, 2021, the Canadian Securities Administrators (CSA) announced the launch of its newly refreshed website as part of its...
Changes to the Ministry of Finance Requirements for Corporate Dissolutions
Effective October 19, 2021, the Government of Ontario has indicated that the Ontario Business Registry will be launched and available for...
NRD Filing Reminders
We would like to remind our clients of a few items to consider with respect to their NRD filing obligations, so that filings are made (and...
Minor Amendments to the STCS Guide
Please note that there have been some small amendments to the CSA Guide to Suppression of Terrorism and Canadian Sanctions Reporting...
FSRA’s Proposed Guidance on Exemption from Mortgage Brokerage License Requirements
On August 18, the Financial Services Regulatory Authority of Ontario (FSRA) released a consultation paper on its draft interpretation...
PMAC Fall Regulatory and Compliance Webcast – October 21
AUM Law is a proud sponsor of the Fall Regulatory and Compliance Webcast organized by the Portfolio Management Association of Canada...
FSRA Proposes Approach Guidance for Publication of Enforcement Proceedings
The Financial Services Regulatory Authority of Ontario (FSRA) has released a proposed approach guidance, outlining its intentions with...
CSA Proposes a New Prospectus Exemption for Canadian-listed Issuers
On July 28, 2021, the Canadian Securities Administrators (CSA) announced a proposed new prospectus exemption for issuers listed on a...
CSA Proposes Amendments to Guidance for Financial Statements in Long Form Prospectuses
On August 12, the Canadian Securities Administrators (CSA) released proposed amendments to the Companion Policy to National Instrument...
CDCC and IIROC Propose Amendments Relating to Futures Segregation and Portability
The Canadian Derivatives Clearing Corporation (CDCC) has proposed amendments to its Rules, Operations Manual, Risk Manual and Default...
Titles, Titles and More Titles: Saskatchewan and New Brunswick Consider Title Protection Regimes
The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) released draft regulations under The Financial Planners and Financial...