Bulletin | Frozen Edition | January 2019

In this bulletin:

1. OSC Consults on Reducing Regulatory Burdens
2. SEC Settles Its First Enforcement Actions against Robo-Advisors
3. IIROC, the SEC, and FINRA Announce Their Compliance Priorities for 2019
4. New Share Register Requirements for Beneficial Owners with “Significant Control” Come into Force for Private CBCA Corporations this June
5. FINTRAC Updates Its Guidance on Suspicious Transaction Reports
6. FINRA Publishes Report on Effective Cyber-Security Practices

In Brief: OSC Invites Ontario Businesses to Participate in Global Launchpad

Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Frozen Edition – January 2019