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AUM Law | Canada | 31 Jan 2020
In Brief: CSA Consults on Access Equals Delivery Model for Disclosure Documents
On January 9, the Canadian Securities Administrators (CSA) published Consultation Paper 51-405 Consideration of an Access Equals Delivery Model for
AUM Law | Canada | 31 Jan 2020
IIROC Fines Registered Representative for His Coulda Shoulda Woulda KYC
A recent settlement between the Investment Industry Regulatory Organization of Canada (IIROC) and a registered representative (Representative) at
AUM Law | Canada | 31 Jan 2020
IIROC and FINRA Publish Their Compliance Priorities for 2020
On December 20, 2019, the Investment Industry Regulatory Organization of Canada (IIROC) published its annual compliance report, which covers recent
AUM Law | Canada | 31 Jan 2020
ASC Schools Registrants on Compliance with OM Exemption
On January 16, the Alberta Securities Commission (ASC) published Staff Notice 45-705 Compliance with Investment Limits under the Offering Memorandum
AUM Law | Canada | 31 Jan 2020
Like Rats in a Maze: Navigating the Application of Securities Laws to Crypto-Assets
On January 16, the Canadian Securities Administrators (CSA) published Staff Notice 21-327 Guidance on the Application of Securities Legislation to
AUM Law | Canada | 31 Jan 2020
Client-Focused Reforms: A Closer Look at the Misleading Communications, RDI, Compliance Training and Record-Keeping Rules
As we reported in our October 2019 special bulletin, the Canadian Securities Administrators (CSA) have finalized their client-focused reforms (CFRs)
AUM Law | Canada | 31 Jan 2020
Get Ready to RAQ and Roll
Ontario Securities Commission (OSC) staff have begun notifying registrants that they will receive a risk assessment questionnaire (RAQ) on April 15
AUM Law | Canada | 31 Jan 2020
FAQ Corner: Can an advising representative act as the executor of an estate on behalf of a client?
The Investment Industry Regulator Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) have rules against such
AUM Law | Canada | 24 Dec 2019
In Brief - CSA to Review Regulatory Framework for IIROC and MFDA
On December 12, the Canadian Securities Administrators (CSA) announced that they will undertake a review of the regulatory framework for the
AUM Law | Canada | 24 Dec 2019
Regulatory Highlights of 2019
Last December's regulatory recap was popular with our subscribers, so we're doing the same thing again. We've included links to the relevant articles
