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Bulletin | Winter is Here Edition | November 2021
While some of us were surprised by all the snow in Ontario at the end of November, it was just another reminder that the holidays and the new year are just around the corner! Time to kick your feet up, relax and get cozy with our last bulletin of 2021. We hope you find it helpful, and we wish all of our subscribers a happy new year!
CSA Re-Proposes Rules on Non-GAAP and Other Financial Measures Disclosure
On February 13, the Canadian Securities Administrators (CSA) published a second notice and request for comments (Revised Proposal) on...
If They Build It (Again), Will They Come? The CSA Proposes a Harmonized, Start-up Crowdfunding Regime
On February 27, the Canadian Securities Administrators (CSA) published for comment proposed National Instrument 45-110 Start-up...
OSC Goes Its Own Way as CSA Finalizes Rule on Embedded Commissions
On February 20, the Canadian Securities Administrators except the Ontario Securities Commission (Participating Jurisdictions) published a...
Bulletin | Year of the Rat Edition | January 2020
In this bulletin: Client-Focused Reforms: A Closer Look at the Misleading Communications, RDI, Compliance Training and Record-Keeping...
Get Ready to RAQ and Roll
Ontario Securities Commission (OSC) staff have begun notifying registrants that they will receive a risk assessment questionnaire (RAQ) on...
Client-Focused Reforms: A Closer Look at the Misleading Communications, RDI, Compliance Training and Record-Keeping Rules
As we reported in our October 2019 special bulletin, the Canadian Securities Administrators (CSA) have finalized their client-focused...
IIROC Fines Registered Representative for His Coulda Shoulda Woulda KYC
A recent settlement between the Investment Industry Regulatory Organization of Canada (IIROC) and a registered representative...
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...