Tag: disclosure

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 | Ghoulishly Good Governance Edition | October 2023

In this bulletin: Multilateral Instrument 93-101 Derivatives: Business Conduct – A Labyrinth of Compliance Obligations The Witching Hour – AML/ATF Obligations for Mortgage Lenders are Here Reporting on Diversity – A Spellbinding Challenge In Brief: Break out the...

Bulletin | Month of Change Edition | September 2023

In this bulletin: Compliance Café – OSC Staff Summary Report for Investment Fund and Structured Product Issuers Brewing Compliance Trends: Joint CSA and CIRO Review of Registrants’ Conflicts of Interest Practices CSA Year in Review; Fall’s Well that Ends Well In...

Bulletin | Asteroid Edition | June 2023

In this bulletin: FSRA Consults Further on the UDAP Rule and Impactful Fee Choices Federal Review of AML Regime with Global Implications CIRO’s Annual Priorities Released: Star Map Set for the New Regulator In Brief: CSA Launches TCR Implementation Committee ▪ CSA...

Bulletin | Victoria Day Edition | May 2023

In this bulletin: RegTech 24/7 – OSC Releases First Report on TestLab What’s on the AMF’s Agenda this Year? 2023-2024 Annual Statement of Priorities Published It’s Business Plan Season – FSRA’s Annual Plan BCSC Annual Report Card Illuminates Issues with Conflicts In...