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 | Autumn Edition | September 2021
In this month’s bulletin edition, we cover topics such as the OSC’s Annual Summary Report, IIROC’s draft competency profiles for its registration categories and Québec’s proposed new complaint handling process. Read about these developments and more, below.
ASC Schools Registrants on Compliance with OM Exemption
On January 16, the Alberta Securities Commission (ASC) published Staff Notice 45-705 Compliance with Investment Limits under the Offering...
FAQ Corner: Can an advising representative act as the executor of an estate on behalf of a client?
Answer: The Investment Industry Regulator Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) have...
Lexology Recognizes AUM Law Again for Thought Leadership in Our Publications
Did you know that AUM Law makes our bulletins available through Lexology, a resource that aggregates and organizes legal updates, analysis...
IIROC and FINRA Publish Their Compliance Priorities for 2020
On December 20, 2019, the Investment Industry Regulatory Organization of Canada (IIROC) published its annual compliance report, which...
Disclosure Expectations for Crypto Asset Reporting Issuers
On March 11, 2021, the Canadian Securities Administrators (CSA) published guidance to improve the quality of disclosure for crypto asset...
CSA Consults on Access Equals Delivery Model for Disclosure Documents
On January 9, the Canadian Securities Administrators (CSA) published Consultation Paper 51-405 Consideration of an Access Equals Delivery...