In this bulletin:
- CRR Publishes Its Annual Report Card on Registrants
- Crypto Kerfuffles Continue
- 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