With the beginning of a new year, you may have resolved to break a habit, get into better shape or turn over a new leaf in some way. Along with those aspirations, you will also want to remain aware of the following new developments and requirements for registered firms:

  1. Late Fee Amnesty for Certain Outside Business Activities
  2. Registered Firms that Distribute Products Through Third-Party Dealers
  3. Trustees as Permitted Individuals
  4. Extension of Certain CRM2 Timelines

Click the link to access our bulletin summarizing these developments. >> AUM Law Bulletin Kicking Off 2015 January 2015

Cliquez ici pour la version française. >> Coup d’envoi de 2015