Mar 8, 2024 | Regulatory Compliance
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...
Jan 31, 2023 | Regulatory Compliance
The Financial Services Regulatory Authority of Ontario (FSRA) published proposed guidance on IT risk management (the Guidance) for consultation. The Guidance is intended to help FSRA regulated sectors and individuals effectively manage a threat to their IT systems,...
Jun 30, 2020 | Regulatory Compliance
On May 28, the International Organization of Securities Commissions (IOSCO) published for comment revised Principles on Outsourcing (Revised Principles). Previously, IOSCO had issued outsourcing principles for market intermediaries (2005) and markets (2009). The...
