In this bulletin:

  1. OSC Sets Aside Director’s Refusal to Issue Receipt for Bitcoin Fund
  2. Reminder: OSC Participation Fee Calculation Forms Due by December 2
  3. Client-Focused Reforms: A Closer Look at the Conflict of Interest Provisions
  4. ASC Adopts Crowdfunding Blanket Order
  5. FINRA Publishes Compliance Exams Report
  6. 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