The following regulatory developments will be of interest to you in Q4:

  1. Important Changes Coming to NI 31-103 in January 2015
  2. Fund Manager Expense Allocation Practices Increasingly Under Scrutiny
  3. Late Fee “Traps”
  4. 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