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 | Music Festival Edition | August 2024
Read more about the latest regulatory updates in this month’s bulletin here.
Supporting Early-Stage Ontario Businesses
The Ontario Securities Commission (OSC) has announced a number of time-limited exemptions from the dealer registration requirements to...
Did CRM2 Work?
On April 25, 2024, the Canadian Securities Administrators (CSA) published two research reports that examined how the implementation of the...
Disclosure – Is it Clear and Conspicuous Enough?
The type and use of promotions for securities has long been scrutinized and regulated. For example, in 2021, the British Columbia...
Annual OSFI Risk Outlook
Earlier this month, the Office of the Superintendent of Financial Institutions (OSFI) released its annual risk outlook for 2024 to 2025....
Consumer Protections: FSRA Panel Releases Report
The Consumer Advisory Panel (Panel) to the Financial Services Regulatory Authority of Ontario (FSRA) provides advice from a consumer...
CIRO’s Proposed Integrated Fee Model
On April 25, 2024, the Canadian Investment Regulatory Organization (CIRO) proposed a new integrated fee model for investment dealers and...
Important Reminder: RAQ Due June 19
Registrants in Ontario must complete the 2024 Risk Assessment Questionnaire in the next few weeks and submit it through the Ontario...
Important Reminder: AUM Training for Registrants Available
Professionals at AUM Law can help registered firms meet their training obligations by providing in-person or virtual training for staff,...
CIRO’s Proposed Integrated Fee Model
Click the link to access a PDF of the article >> AUM Law | CIRO’s Proposed Integrated Fee Model | May 2024 On April 25, 2024, the...
CIRO’s Ambitious Three-Year Strategic Plan
Introduction On April 11, 2024, the Canadian Investment Regulatory Organization (CIRO) released its three-year Strategic Plan. The...
Breaking Down FSRA’s 2024-27 Annual Business Plan
The Financial Services Regulatory Authority of Ontario (FSRA) recently released its 2024-27 Annual Business Plan (Plan) setting out its...
Phase 3 of CIRO’s Rule Consolidation Project
On April 18, 2024, the Canadian Investment Regulatory Organization (CIRO) published for comment Phase 3 of its Rule Consolidation Project...
Will the Money Pour in from Restricted Dealers New Fees
As first reported in our November 2023 bulletin, the Ontario Securities Commission (OSC) was consulting on new fees applicable to certain...
ASC and FCAA Extend Self-Certified Prospectus Exemption
The Alberta Securities Commission (ASC) and the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) have extended the...
Ode to Market Data Access
Back in November, 2022 we wrote about CSA Consultation Paper 21-403 Access to Real-Time Market Data, which dealt with concerns about the...