In this bulletin:

  1. CSA Publishes Suggested Practices for Engaging with Older or Vulnerable Clients
  2. CSA Issues 2016-19 Report Card and 2019-2022 Business Plan
  3. Canadian CEO Penalized for His Company’s CASL Breaches
  4. Beleave It! Prompt, Remedial Action Can Take Enforcement Action off the Table
  5. Sec Adopts Final Rules Governing Broker and Adviser Relationships with Investors
  6. 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