Tag: regulatory compliance

Canada’s Annual AIMA’s Regulatory Forum

AUM Law’s founder Kevin Cohen had the pleasure of moderating the annual AIMA Canada Regulatory Forum, which discusses a number of current topics impacting compliance, registration and investment funds, as well as questions for the regulators on November 30. November...

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...

BLG’s Resource Corner

Our colleagues at BLG have provided the following insights we thought might interest our readers: ETFs in the spotlight: The CSA review exchange-traded funds What does a managed service look like in the legal world? Gender diversity in the Canadian boardroom: Where...