Nov 30, 2022 | Investment Funds, Regulatory Compliance
The CSA recently published notices that recognize the New Self-Regulatory Organization of Canada (New SRO) and approve the Canadian Investor Protection Fund (CIPF) both as of January 1, 2023. As set out in our May 2022 bulletin, the CSA released CSA Staff Notice and...
Nov 30, 2022 | Events, News, Regulatory Compliance
AUM Law’s Chris Tooley will be participating as a speaker for the second year in a row at the Anti-Money Laundering and Anti-Terrorist Financing Training Session hosted by PMAC. Chris will be covering core concepts around money laundering and terrorist financing,...
Oct 31, 2022 | Investment Funds, Regulatory Compliance
Earlier this month, the Investment Industry Regulatory Organization of Canada (IIROC) released a request for Expressions of Interest for potential future vendors who wish to provide educational services in connection with IIROC’s proficiency regime. IIROC has already...
Oct 31, 2022 | Events, News
We are proud to be sponsoring the Portfolio Management Association of Canada (PMAC) Annual Conference, alongside Borden Ladner Gervais (BLG) on November 16 at the Fairmont Royal York in Toronto. Click here to see the agenda and register for the event, and please stop...
Sep 27, 2022 | Investment Funds, Regulatory Compliance
In late August, IIROC released the final phase of its multi-year consultation to set base line competency profiles for all of its registration categories. This third phase deals with Supervisors, Traders, Associate Portfolio Managers and Portfolio Managers and...
Aug 17, 2022 | Investment Funds, Regulatory Compliance
The Investment Industry Regulatory Organization of Canada (IIROC) released its annual Enforcement Report (Report) for the fiscal year 2022 (April 1, 2021 to March 31, 2022). The report highlighted IIROC’s commitment to protect clients, namely senior and vulnerable...
Aug 17, 2022 | Regulatory Compliance
On June 29, 2022 the Canadian Securities Administrators (CSA) issued its fiscal year 2021-2022 Enforcement Report (Report), for the year ended March 31. The Report indicates an increased attention being applied by the Canadian securities regulators on the crypto-asset...
Aug 17, 2022 | Investment Funds, Regulatory Compliance
It’s been a year since we wrote about proposed draft regulations under Saskatchewan’s The Financial Planners and Financial Advisors Act. The title protection framework was initially based primarily on Ontario’s title protection framework, requiring approval for...
Aug 17, 2022 | Regulatory Compliance
In mid July, the Canadian Securities Administrators (CSA) announced that they have established its new, much anticipated Investor Advisory Panel (IAP) which was first publicized in 2021. The IAP is intended to provide awareness of the interests of retail investors’...
Aug 17, 2022 | Events, News, Regulatory Compliance
On September 7, AUM Law’s Bill Donegan will participate as a speaker at the TSAM Toronto panel on investment operations and optimizing compliance. August 16, 2022
