From Halloween Hangover, to the day honouring our veterans, to the recent testing of intercontinental ballistic missiles in the Asia-pacific region, November has been a roller coaster of a month. Our November regulatory update follows the same vein – from coverage of Ontario’s capital markets to international developments. Here is AUM Law’s take on various developments this past month.
In this bulletin:
In Brief: IOSCO Issues Good Practices for Fund Termination ● Whistleblowing ● New Reporting Obligations Related to Terrorist Financing ● Proposed Changes to Mandatory Central Counterparty Clearing
- OSC Registrant Outreach on Exempt Market Dealers: Key Takeaways
- To be Independent, or not to be Independent?
- Are You Ready to Serve Clients with Diminished Capacity?
- The Chief Compliance Officer: The Compliance Captain that Steers the Ship
- Ontario to Regulate Financial Planners and Strengthen Protection for Investors in Syndicated Mortgages
News & Events
Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – The Roller Coaster! – November 2017