Insights
We strive to make our publications timely, useful, and digestible for the executive managers in the asset management industry. We take pride in a good pun or apt music reference.
The articles on our website aren’t intended as a complete statement of the law or an opinion any matter. Please read our Privacy Policy to learn more.
Bulletin | Seasonal (Regulatory) Change Edition | September 2022
In this month’s bulletin edition, we cover the recent consultation on upfront compensation for segregated funds, an OSC study finding many investors overestimating their knowledge, amendments to National Instrument 45-106, and more below.
AUM Law Presented at PMAC Conference
On May 12, AUM Law’s Chris Tooley participated as a speaker at the Portfolio Management Association of Canada (PMAC) Spring Regulatory...
AUM Law Speaks at Compliance Officers’ Network
Richard Roskies and Chris Tooley will be participating as panelists at the Compliance Officers’ Network hosted by PMAC and Borden Ladner...
A Summer for Consideration – CSA Proposes Amendments to Continuous Disclosure Obligations and Semi-Annual Reporting for Venture Issuers
On May 20, the CSA proposed amendments to NI 51-102 Continuous Disclosure Obligations in order to streamline and clarify continuous...
IIROC Seeks Expert Views on Its Proposed IIROC Expert Investor Issues Panel
IIROC is currently seeking input into a proposed framework for its new Expert Investor Issues Panel, including with respect to the panel’s...
CSA Proposed Amendments to NI 14-101 Definitions and Consequential Amendments
The CSA has proposed certain amendments to the National Instrument which sets out definitions that apply across various other national...
CSA Proposed Amendments to Designated Benchmarks and Benchmark Administrators
Certain of the securities regulatory authorities are proposing changes to Multilateral Instrument 25-102 Designated Benchmarks and...
Investment Fund Managers (IFM) Form Deadlines
For clients who are registered as investment fund managers, a friendly reminder that your initial investment funds survey responses are...
CFR Requirements Reminder
A number of new regulatory requirements regarding conflicts of interest, including referral arrangements, come into effect on June 30....
Titles, Titles and More Titles – Notice of Changes and Request for Further Comment on Financial Professionals Title Protection Rule
On May 11, 2021, the Financial Services Regulatory Authority of Ontario (“FSRA”) proposed for a second time Rule 2020-001 Financial...
All Together Now – OSC Joins DSC Ban
On May 7 the Ontario Securities Commission (OSC) announced that it will join in on the ban on deferred sales charge (DSC) sales of mutual...
BLG Transaction – New Beginnings
As announced on May 6, all of us here at AUM Law are thrilled about our new relationship with Borden Ladner Gervais LLP (“BLG”). The...
BLG acquires AUM Law, shifting the legal landscape in Canada
Deal Provides Investment Industry with Flexible, Innovative Approach to Manage Risk Toronto, ON – May 6, 2021 – AUM Law today announced...
FINTRAC Publishes Guidance on Politically Exposed Persons and Heads of International Organizations
In February 2021, FINTRAC updated its guidance on politically exposed persons (PEP) and heads of international organizations (HIO), as...
AUM Law Speaks at PMAC Conference
On May 12, AUM Law’s Chris Tooley will participate as a speaker at the Portfolio Management Association of Canada (PMAC) Spring Regulatory...
CSA Publishes Guidance on Crypto-Asset Trading Platforms
On March 29, the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC, and...