In this bulletin:

  1. Crypto Consultant Falls Afoul of Registration Requirements
  2. Time to Get “Sirius” about Upcoming Changes to the Syndicated Mortgages Framework
  3. Canada Finalizes Changes to Its AML Regulations
  4. OSC Finalizes Its 2019-20 Priorities and Publishes Service Standards and Timelines
  5. Best Execution (Not): CIM Reaches Settlement with OSC
  6. Regulators Continue to Focus on Senior Investors: Insights and Guidance from the AMF and OBSI
  7. BC Firm to Fork over Hard Cash to Settle Case about Misuse of Soft Dollars
  8. 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