In this bulletin:

  1. FINTRAC Publishes Guidance on Its Approach to Compliance, Exams and Enforcement
  2. Reports of Exempt Distribution Involving Fully Managed Accounts Just Got a Bit More Complicated
  3. Reminder: IFRS 16 Leases May Affect Your Excess Working Capital Calculations
  4. Don’t Drop the Ball on Fund Amendments
  5. One Bit. Two Bits. Three Bits. Pop! No Prospectus Receipt for a Bitcoin Fund
  6. CSA Plans to Harmonize and Refine Start-up Crowdfunding Exemption

In Brief: FINTRAC Staff Comments at OSC Seminar Trigger “Thinking and Wondering” about Registrants’ Obligations to Update Client ID Documents  ▪ SEC Proposes to Expand “Test-the-Waters” Reform to All Issuers

Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Dr. Seuss Edition – February 2019