Insights
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Bulletin | Family Day Edition | February 2023
We wanted to let our AUM family know that changes to our monthly bulletin are coming! We will be updating the look of our newsletter, to better serve you.
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...
FSRA’s Draft Innovation Framework
The Financial Services Regulatory Authority of Ontario released a consultation paper regarding its new Innovation Office, which was...
FCNB/NSSC Consultation on Diversity in the Capital Markets
The Nova Scotia Securities Commission (NSSC) and the New Brunswick Financial and Consumer Services Commission (FCNB) have issued a short...
Proposed Amendments to Derivatives Clearing Rules
We wanted to note for those that follow changes to the derivatives reporting rules that the CSA (other than the OSC) has released a notice...
Ontario’s New Draft Capital Markets Act
For those looking for some new reading material, a Capital Markets Act (the “Act”) draft has been released by the Ontario Ministry of...
CSA Proposes Mandatory Climate Change Disclosure
The CSA released a consultation paper on October 18, proposing a new National Instrument NI 51-107 Disclosure of Climate-related Matters...
FSRA Publishes 2022-2023 Statement of Priorities for Comment
On October 7, 2021, the Financial Services Regulatory Authority of Ontario (FSRA) published for comment its proposed 2022-2023 Statement...