According to sources like Wikipedia and the Huffington Post, Halloween originated from the Celtic festivals. The word refers to, among other things, the Day of the Dead. As scary as that may sound (and October 31st is quickly approaching), there is nothing scary or unpredictable on this month’s securities update. Here is AUM Law’s take on recent regulatory pronouncements.

In this bulletin:

In Brief: A Quick Update on Federal Government’s Tax Proposal ● Investment Fund

Issuers Filing Annual Reports: Filing Deadline Approaching for New Form 45-106F1 Report of Exempt Distribution ● We can help you put in place a shareholders agreement ● 2017 Capital Market Participation Fees ● OSC Tweets Crypto Currency Policy

  1. Proposed Changes in Québec: The Financial Sector
  2. Proposed OSC Rule 72-503 Distributions Outside Canada: Out of Sight, Out of Mind?
  3. OSC Corporate Finance Branch Report: Key Takeaways
  4. Issuers with U.S. Marijuana-related Activities: Disclosure
  5. Be Mindful of Local Exemptions and Requirements
  6. Heads up Portfolio Advisers: Potential new DRO coming to Canada
  7. Cybersecurity Regulatory Guidance

News & Events

Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Halloween or as the Celtic say Samhain! – October 2017