Tag: dealers

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...

Bulletin | Extra Day, Extra Insights Edition | February 2024

In this bulletin: OSC Releases Digital Engagement Report – Finding Stability Amidst Change Making Adjustments More than Once Every Four Years: Updating and Maintaining SEDAR+ Profiles CIRO Leaps Forward with New Proposed Borrowing Rules In Brief: Keeping Pace in 2024:...

AUM – General Service

Dealer compliance departments are always busy and stressed. We can help when you are having difficulty finding the necessary time to devote to day-to-day regulatory compliance matters. We can tackle difficult one-off issues or help fill staffing gaps. Our only focus...