AUM Law | Canada | 17 Mar 2023
The New Self-Regulatory Organization of Canada (the New SRO) commenced operations right on schedule on Jan. 1, 2023. The pace of change has been…
AUM Law | Canada | 31 Oct 2022
As we also described in our June bulletin, it is expected that it may take some firms a significant amount of time to amend an individual…
AUM Law | Canada | 31 Oct 2022
A friendly reminder that registered firms in Ontario and foreign firms that rely on certain exemptions from the Registration Requirements are…
AUM Law | Canada | 31 Oct 2022
On October 17, 2022, the Ontario Securities Commission (OSC) published its 2021-2022 Annual Report - Responding to Change; Preparing for the Future…
AUM Law | Canada | 31 Oct 2022
On October 14, 2022, the Compliance and Registrant Regulation (CRR) Branch of the Ontario Securities Commission (OSC) published its annual summary…
AUM Law | Canada | 31 Oct 2022
Earlier this month, the Investment Industry Regulatory Organization of Canada (IIROC) released a request for Expressions of Interest for potential…
AUM Law | Canada | 31 Oct 2022
In early October, the Canadian Securities Administrators (CSA) announced the development of a proposal for public comment which would provide the…
AUM Law | Canada | 31 Oct 2022
On September 25, 2022, the Ontario Securities Commission (OSC) announced that it had adopted an exemption from the Prospectus requirements on a pilot…
AUM Law | Canada | 31 Oct 2022
On October 13, 2022, the Financial Services Regulatory Authority of Ontario (FSRA) launched a public consultation on its proposed 2023-2024 statement…