The following regulatory developments will be of interest to you in Q4:
- Important Changes Coming to NI 31-103 in January 2015
- Fund Manager Expense Allocation Practices Increasingly Under Scrutiny
- Late Fee “Traps”
- CRM-2: Additional Account Statements, Position Cost Information and Valuation of Securities
Click the link to access our bulletin summarizing these developments. >> AUM Law Bulletin – Four Things You Need to Know About Compliance in Q4 – November 2014