Tag: dealers

Bulletin | Biking Edition | June 2024

In this bulletin: A Balancing Act: New Time-Limited Expansion of Permitted EMD Activities FSRA’s Gearing up for Change: Consultation on Total Cost Reporting for Segregated Funds In Brief: 2023 Annual Report of OSC’s Investor Advisory Panel: Staying Safe  ▪  Watching...

Bulletin | BBQ Season Edition | May 2024

In this bulletin: OSC Releases Hot Strategic Plan for 2024-2030 Experimenting with Flavours and Exemptions – Supporting Early-Stage Ontario Businesses Charred and Charted – Did CRM2 Work? In Brief: Grilling of Disclosure – Is it Clear and Conspicuous Enough?  ▪ ...

Bulletin | Poetic Perspectives Edition | April 2024

In this bulletin: Verse and Versatility – CIRO’s Ambitious Three-Year Strategic Plan Compliance in Stanzas: Breaking Down FSRA’s 2024-27 Annual Business Plan Crafting Connections: Phase 3 of CIRO’s Rule Consolidation Project In Brief: Will the Money Pour in from...

AUM – General Counsel Services

Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems. Sometimes you need help to find a practical solution to an issue, you may need support for a project team, or simply need support to cover a vacancy or busy period....

Bulletin | Sweet Dreams Edition | March 2024

In this bulletin: Wakeup Call: CIRO Compliance Priorities for 2024 Avoiding Nightmares – Updates to CSA Staff Notice on ESG Guidance for Funds Sleeping Soundly by Dealing with Fee Arrangement Conflicts Keepin’ up with KYP (or, How to Sleep Like a Baby) In Brief:...

AUM – Policies and Procedures

In a busy dealer compliance department, it is always difficult to find time to update and maintain dealer policies and procedures, conflict of interest policies or disclosure documentation. We can review and update your policies and disclosures. Reach out to AUM Law...