Tag: securities law

Bulletin | Paws & Reflection Edition | August 2023

Aug 31, 2023 | Featured

In this bulletin: In the Dog House – Misleading Communications and Advisor Ranking Contests Summer Supervision: FSRA’s Plan for Credentialing Bodies Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money...

Bulletin | Anti-Boredom Edition | July 2023

Jul 31, 2023 | Featured

In this bulletin:  A Visit from Old Friends – OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers  Learning Something New – CIRO’s Proposed New Proficiency Model A Trip Around Alberta – ASC Releases 2023 Annual Report Never a Dull...

Bulletin | Asteroid Edition | June 2023

Jun 30, 2023 | Featured

In this bulletin: FSRA Consults Further on the UDAP Rule and Impactful Fee Choices Federal Review of AML Regime with Global Implications CIRO’s Annual Priorities Released: Star Map Set for the New Regulator In Brief: CSA Launches TCR Implementation Committee ▪ CSA...

CSA’s Review of Chargebacks Soon to Take Off

Jun 30, 2023 | Regulatory Compliance

The use of chargebacks in the mutual fund industry is the latest practice to draw the focus of Canadian regulators who have been set on addressing conflict of interest concerns in the Canadian investment industry. On June 1, the Canadian Securities Administrators...

Bulletin | Victoria Day Edition | May 2023

May 31, 2023 | Featured

In this bulletin: RegTech 24/7 – OSC Releases First Report on TestLab What’s on the AMF’s Agenda this Year? 2023-2024 Annual Statement of Priorities Published It’s Business Plan Season – FSRA’s Annual Plan BCSC Annual Report Card Illuminates Issues with Conflicts In...

Bulletin | April Showers Edition | April 2023

Apr 28, 2023 | Featured

In this bulletin: Better Days Ahead: Proposed Amendments Regarding Diversity Disclosure AMPed for Spring: FSRA Proposes Guidance on Administrative Monetary Penalties FSRA Proposes Guidance to Cut Down Mortgage Fraud Three more Sakura Seasons, then Total Cost Reporting...

Bulletin | March Break Edition | March 2023

Mar 31, 2023 | Featured

In this bulletin: Don’t Stay Away too Long – Revised Guidance Published for Issuers Relying on the Offering Memorandum Prospectus Exemption Watch that Spring Break Behaviour – OSFI Issues Guideline on Culture and Behaviour Risk Eat, Beach, Sleep, Repeat – New SRO...

Bulletin | Family Day Edition | February 2023

Feb 28, 2023 | Featured

In this bulletin: Taking Care of One Another – New SRO Releases Proposal on Distributing Funds to Harmed Investors Conflicts of Interest Requirements – More Than Once Per Year In Brief: In Sync – Ontario’s Ownership Transparency Obligations Now in Force ▪ A...

AUM Law Team Members Announcements

Feb 28, 2023 | News

We are delighted to welcome Iva Vranic as a Senior Legal Counsel to AUM Law. Iva’s practice focuses on securities law, specifically regulatory compliance and risk management for registrants. Prior to joining AUM Law in 2023, she worked at Scotiabank where she spent...

Bulletin | Penguin Awareness Edition | January 2023

Jan 31, 2023 | Featured

In this bulletin: Changes to Offering Memorandum Prospectus Exemption – Will New Issues be Grounded? Ontario’s Exempt Market (But Not Penguins) See Continued Growth FSRA Announces Consultation on Proposed Guidance on IT Risk Management – Filtering Out the Salt...

AUM Law Team Members Announcements

Jan 31, 2023 | News

We are delighted to welcome Ruoxi Cai as a Lawyer to AUM Law. Ruoxi’s practice focuses on securities law, specifically regulatory compliance for registrants. Before joining AUM Law in 2023, she worked at Primerica Financial Services as a senior legal counsel engaged...