Tag: NRD Filing

AUM – Registrations

Securities registrations can be complex and time consuming, especially if experienced staff are not available to manage the process. Outsourcing the registration process is an efficient and cost-effective way to manage registrations. AUM Law’s team can manage your...

Bulletin | Autumn Edition | September 2021

In this bulletin: OSC Publishes its 2021 Annual Report – What you Need to Know IIROC Releases Draft Competency Profiles for Directors, Executives, UDPs, CCOs and CFOs Québec Consults on the Complaint Handling Process CPAB Consults on its Disclosure of Audit Firm...

NRD Filing Reminders

We would like to remind our clients of a few items to consider with respect to their NRD filing obligations, so that filings are made (and approved) as quickly as possible. When filing a new individual registration on Form 33-109F4 – Registration of Individuals and...