In this bulletin:
- Crypto Consultant Falls Afoul of Registration Requirements
- Time to Get “Sirius” about Upcoming Changes to the Syndicated Mortgages Framework
- Canada Finalizes Changes to Its AML Regulations
- OSC Finalizes Its 2019-20 Priorities and Publishes Service Standards and Timelines
- Best Execution (Not): CIM Reaches Settlement with OSC
- Regulators Continue to Focus on Senior Investors: Insights and Guidance from the AMF and OBSI
- BC Firm to Fork over Hard Cash to Settle Case about Misuse of Soft Dollars
- International Derivatives Trading Platforms Take an Expensive Business (Trigger) Trip
In Brief: OSC’s Investor Advisory Panel Says Small/Mass-Market Investors Don’t Get Enough Advice
FAQ Corner: Are EMDs of hedge funds required to conduct annual know-your-client (KYC) updates on the funds’ investors? ▪ Can an MFDA Member sell private mutual funds?
Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Dog Days of Summer Edition – July 2019