Jun 30, 2022 | Regulatory Compliance
What would happen to your firm and clients in the event your registered individuals are no longer able to perform their registerable duties? That is a question that is top of mind for regulators and one which staff is likely to ask about in the course of a regulatory...
Jan 29, 2021 | Events, News, Regulatory Compliance
On February 4, the Portfolio Management Association of Canada (PMAC) will be hosting a virtual webcast. AUM Law’s Kevin Cohen will participate as a panellist to discuss the importance of succession planning from a client, regulatory and business continuity...
Jul 31, 2020 | Regulatory Compliance
The Senior Issues and Diminished Capacity Committee (Committee) of the North American Securities Administrators Association (NASAA), which usually focuses on issues relating to senior and vulnerable investors, recently published a research report (Report) examining...