Tag: wealth management

AUM – General Service

Feb 8, 2024 | Regulatory Compliance

Dealer compliance departments are always busy and stressed. We can help when you are having difficulty finding the necessary time to devote to day-to-day regulatory compliance matters. We can tackle difficult one-off issues or help fill staffing gaps. Our only focus...

IFIC Annual Leadership Conference – October 5

Aug 31, 2023 | News

AUM Law’s William (Bill) Donegan will be participating as a moderator on the Advice Panel at the Investment Funds Institute of Canada (IFIC) Annual Leadership Conference on October 5. The Advice Panel “will consider the factors reshaping advice and wealth management...

Welcome William (Bill) Donegan to AUM Law

Aug 17, 2022 | News

We are delighted to welcome Bill Donegan as Senior Compliance Consultant to AUM Law. In his role, Bill will provide senior level advisory services to registered individuals and dealers, on all aspects of their securities regulatory compliance obligations and the...