In this bulletin:

  1. Jail Time for Mr. Tiffin
  2. Embedded Commissions: We Just Disagree Edition
  3. Mind the Non-GAAP
  4. FINRA Publishes White Paper on RegTech for Comment
  5. Real Estate Investment Vehicles: Which Make and Model Suit You?
  6. Alternative Funds: Ready to Shake It up?

In Brief: Reminder: Revised Form 45-106F1 Report of Exempt Distributions Takes Effect on October 5 ● IOSCO Publishes Guidance on Conflicts of Interest in the Equity Capital-Raising Process ● IOSCO Issues Policy Measures on Retail, Leveraged OTC Products and Warns Public about Binary Options

> News & Events

Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Movin’ Out Edition – September 2018