In this bulletin:
- Regulatory Highlights of 2018
“A” is for AML-ATF and Alternative Mutual Funds
“B” is for Best
“C” is for Cannabis, Crypto-Commotion and CCMRS
“D” is for Data Privacy / Digital Security, Derivatives and Diminished Capacity
“E” is for Exam Report Cards and Exempt Distributions
“F” is for Fintech
“G” is for Guidance
“H” is for Housing
- Reminder: Investment Funds Have a January 30 Deadline to File Reports of Exempt Distribution
- New Sanctions List to Check under Anti-Terrorist Legislation
- FINRA Publishes Compliance Exams Report
- SEC Issues Report on Exam Sweep Focused on Electronic Messaging
In Brief: FSPC’s Updated Professional Conduct Standards Take Effect on January 1 ▪ CSA Proposes Trading Fee Rebate Pilot Study
Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Stocking Stuffers – December 2018