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

  1. OSC Registrant Outreach on Exempt Market Dealers: Key Takeaways
  2. To be Independent, or not to be Independent?
  3. Are You Ready to Serve Clients with Diminished Capacity?
  4. The Chief Compliance Officer: The Compliance Captain that Steers the Ship
  5. 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