In this bulletin:

  1. CRR Publishes Its Annual Report Card on Registrants
  2. Crypto Kerfuffles Continue
  3. FSRA Focuses on High-Risk Syndicated Mortgages

In Brief: CSA Publishes Guidance on Compliance Consultants  ▪ OSC Publishes Study on Tactics to Improve Fee Disclosure

FAQ Corner: Does an employee who executes trading instructions provided by a registered advising representative have to be registered?

News & Events: PMAC Toronto Regulatory & Compliance Forum – September 19th

Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Back to School Edition – August 2019