In this bulletin:
- OSC Sets Aside Director’s Refusal to Issue Receipt for Bitcoin Fund
- Reminder: OSC Participation Fee Calculation Forms Due by December 2
- Client-Focused Reforms: A Closer Look at the Conflict of Interest Provisions
- ASC Adopts Crowdfunding Blanket Order
- FINRA Publishes Compliance Exams Report
- The Customer’s Kids Aren’t Always Right, According to OBSI
In Brief: IIROC Warns Firms about Limitation of Liability Clauses ▪ BC Government Proposes Major Changes to the Securities Act
FAQ Corner: When a mutual fund sponsors an educational seminar to be attended by dealing representatives, is it appropriate to promote the event on the firm’s website or LinkedIn page?
News & Events: PMAC Annual Conference – November 13 ▪ AUM Law Team Member Announcement
Click the link to access our bulletin summarizing these recent developments. >> AUM Law Bulletin – Boo! – October 2019