Insights
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Bulletin | Polar Vortex Edition | January 2024
While we can’t stop or predict the polar vortex, we can help you navigate any impending dynamic regulatory storm by providing you with timely information on new and proposed amendments that impact your business.
Haunted Housekeeping: AMF Approves Delegation of Powers to CIRO
The Autorité des marchés financiers (AMF) and the government of Quebéc announced the approval of delegation of powers to the Canadian...
Safely Navigating Financial Complaints – Single External Complaints Body Named
After many consultations and years of discussion, it was announced by the Deputy Prime Minister and Minister of Finance on October 17 that...
OSC Proposes Permanent Exemption from the Underwriting Conflicts Disclosure Requirements
Earlier this month on October 5th, the Ontario Securities Commission (OSC) released Rule 33-509 Exemption from Underwriting Conflicts...
Update on Continuous Disclosure Amendments for Non-Investment Fund Issuers – Compliance Spells and Potions
The Canadian Securities Administrators (CSA) have indicated they are not immediately moving forward with proposed amendments to modernize...
Reminder: Frighteningly Close to Deadline to File Capital Markets Participation Fee Calculation Forms
As per our reminder last month, if you are a firm registered in Ontario under the Securities Act or the Commodity Futures Act, or relying...
Watching Out for Goblins and Invitations
Along with our colleagues at BLG, we will be hosting a fall in-person seminar and reception at BLG’s offices, on November 23. The seminar...
2023 Canadian Hedge Fund Awards
We would like to congratulate the following AUM Law clients for their outstanding investment performance, which was recognized at the 16th...
Movin’ and Shakin’ We’ve Moved!
AUM Law is pleased to announce that we have moved to the BLG Offices at Bay Adelaide Centre, East Tower, 22 Adelaide St. West, Suite 3400...
BLG Fall Webinar: Focus on CIRO
On September 20, William (Bill) Donegan spoke alongside Borden Ladner Gervais LLP (BLG) lawyers at a BLG’s Investment Management webinar....
OSC Staff Summary Report for Investment Fund and Structured Product Issuers
On September 13, 2023, the Ontario Securities Commission (OSC) published Staff Notice 81-734 Summary Report for Investment Fund and...
Joint CSA and CIRO Review of Registrants’ Conflicts of Interest Practices
Since the implementation of the Client Focused Reforms (CFRs), the Canadian Securities Administrators (CSA) and staff of the Canadian...
CSA Year in Review; Fall’s Well that Ends Well
This month, the Canadian Securities Administrators (CSA) released its ‘Year in Review’ which summarizes the activities of the provincial...
CSA Turn Over a New Leaf and Repeal NI 81-104
National Instrument 81-104 Alternative Mutual Funds (NI 81-104) has been repealed by all members of the Canadian Securities Administrators...
Apple-y Ever After? FSRA Finalizes Fee Rule
The Financial Services Regulatory Authority of Ontario (FSRA) has released its final fee rule in Rule 2022-001 Assessments and Fees. This...
CIRO Proposes Clarifications to Proficiency Requirements
In late August, the Canadian Investment Regulatory Organization (CIRO) released Bulletin 23-0096 Proposed Clarifying Amendments to...