Canadians remembered those we lost on November 11 and mourned the passing of legendary poet and singer, Leonard Cohen, on November 7. The voice of the national icon and spiritual guide, best known for his song Hallelujah, will be sorely missed.

AUM Law will act as your regulatory (not spiritual…unless you’re a fixed fee client) guide to recent IIROC and CSA developments this month, and will shed light on the CRTC’s first decision under Canada’s anti-spam legislation.

In Brief: CMRA Names Its First Chief Regulator  ●  CSA Seeking Participants for Cybersecurity Roundtable  ●  PMAC Announces  New Board

  1. IIROC Releases Proposed Guidance on Order Execution Only Services
  2. A Published Electronic Address Does Not Always Trigger Implied Consent
  3. CSA’s Guidance for Portfolio Managers for Service Arrangements with IIROC
    Dealer Members
  4. You’ve Got Mail – Do Benchmarks Require a Licensing Fee?
  • Frequently Asked Questions
  • News & Upcoming Events

Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin Closing Time November 2016