Tag: audits

Don’t Stay Away too Long – Revised Guidance Published for Issuers Relying on the Offering Memorandum Prospectus Exemption

Mar 31, 2023 | Corporate Finance, Investment Funds, Mortgage and Real Estate Investment Vehicles, Regulatory Compliance

On March 8, 2023, staff of the Canadian Securities Administrators (other than Ontario), published revised Multilateral CSA Staff Notice 45-309 (the Notice), first published in 2012, which provides guidance for preparing and filing an offering memorandum (an OM) under...

Bulletin | Get Ready for Warmer Weather Edition | April 2022

Apr 29, 2022 | Featured

In this bulletin: A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers It’s Still Ongoing – OSC Continues with its Conflict of Interest Focused Reviews Improved ESG Disclosure in Scope as CSA Targets Changes to National...

Independent Evaluation of OBSI

Nov 30, 2021 | Investment Funds, Regulatory Compliance

Professor Poonam Puri has been appointed by the board of The Ombudsman for Banking Services and Investments (OBSI) to undertake an independent evaluation of OBSI’s operations. As the evaluation includes input from stakeholders, two requests for comment have been...

AUM Law Speaks at PMAC Conference

Apr 30, 2021 | Events, News

On May 12, AUM Law’s Chris Tooley will participate as a speaker at the Portfolio Management Association of Canada (PMAC) Spring Regulatory & Compliance Webcast on FINTRAC audits and Richard Roskies will also be speaking on the topic of OSC audits. April 30,...