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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

Article

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

Article

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

Article

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

Article

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

Article

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)

Article

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

Article

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

Article

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

Article

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

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