Feb 16, 2024 | Canadian Investment Regulatory Organization (CIRO), Regulatory Compliance
CIRO member dealers are required to provide ongoing training to their Approved Persons concerning securities regulatory requirements, including conflicts of interest, know your client, know your product and suitability determinations. AUM Law provides training...
Feb 8, 2024 | Regulatory Compliance
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...
