In this bulletin:
- CSA Publishes Suggested Practices for Engaging with Older or Vulnerable Clients
- CSA Issues 2016-19 Report Card and 2019-2022 Business Plan
- Canadian CEO Penalized for His Company’s CASL Breaches
- Beleave It! Prompt, Remedial Action Can Take Enforcement Action off the Table
- Sec Adopts Final Rules Governing Broker and Adviser Relationships with Investors
- OPC Reframes Its Consultation Paper on Trans-Border Data Flows
In Brief: Stop Presses! OSC Drops Requirement for Pooled Fund Managers to Get Approval to Act as Trustees ▪ ASC Publishes Checklist for EMD Compliance Manuals
News & Events
Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Canada Day Edition – June 2019