In this bulletin:

  1. 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

  1. Reminder: Investment Funds Have a January 30 Deadline to File Reports of Exempt Distribution
  2. New Sanctions List to Check under Anti-Terrorist Legislation
  3. FINRA Publishes Compliance Exams Report
  4. 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