In this bulletin:

  1. CSA Proposes Investment Fund Reforms to Reduce Regulatory Burdens
  2. Capital Markets Participation Fee Certification Is Getting Easier
  3. #NeverMind: Privacy Commissioner Decides Not to Change Cross-Border Data Processing Guidelines
  4. RBC and TD Settlements Offer Lessons for All Registrants

In Brief: Raising the BAR Threshold to Reduce Issuer’s Regulatory Burden ▪ FundEX Settlement Reminds Us That It’s All about Control

FAQ Corner: In light of the June 2019 amendments to the regulations made under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA), can a registrant now use electronic copies of photo identification documents to identify a client under the “dual process” method?

News & Events: NI 31-103 and AUM Law are ten years old!

Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – End of Summer Edition – September 2019