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Joining Mario Nigro is Larry Dunn of Endurance Search Partners, which has supported over 250 searchers across the U.S. and Canada since 2009.

On October 10, 2024, CIRO released Enhanced Cost Reporting – Proposed Rule Amendments. These amendments seek to harmonize CIRO member investment dealer and mutual fund dealer cost reporting requirements...

We are delighted to welcome Ruoxi Cai as a Lawyer to AUM Law. Ruoxi's practice focuses on securities law, specifically regulatory compliance for registrants. Before joining AUM Law in 2023...

The committee is also intended to provide regulators with updates as to the industry's progress toward implementation of the new requirements.

Joining Mario today is Brian Davey, CEO of NADF (Nishnawbe Aski Development Fund), a lender to Indigenous entrepreneurs across Northern Ontario.

This summer, the Canadian Investment Regulatory Organization (CIRO) published amendments to the Mutual Fund Dealer Rules and the Investment Dealer and Partially Consolidated Rules...

As mentioned above, the Phase 1 rollout of the new SEDAR+ filing system will be launching on June 13, 2023. This phase of the rollout requires numerous filings to be submitted

For a second time, CIRO recently released for comment its proposal regarding Distributing Funds Disgorged and Collected through CIRO Disciplinary Proceedings to Harmed Investors (Phase II) (Proposal).

On February 12, the Canadian Investment Regulatory Organization (CIRO) proposed to end the dual registration model, enabling investment dealers to operate a mutual fund division without separate...

On September 12, 2024, CIRO released a Rule Consolidation Project Update, providing very useful information on the project status, comment period participation and decisions made to date by CIRO.

BLG and AUM Law have created this interactive tool to make it easier to find, understand and act on several important topics.

The Gowling WLG Investment Funds team has advised Castelnau Group Limited, an investment fund listed on the London Stock Exchange's Specialist Fund Segment, on the publication of a prospectus and launch of a placing to acquire Dignity plc,

Earlier this month, the Ontario Securities Commission's Investor Advisory Panel (the Panel) released its annual report. The Panel is an advisory committee to the OSC...

The Canadian Securities Administrators (CSA) announced in August 2023 that they are undertaking a review of exchange-traded funds (ETFs). In Canada, approximately 15% of all public investment fund...

Chargebacks are a form of compensation structure whereby a dealing representative is paid upfront commissions and/or fees when their client purchases securities.

Investment funds that utilize the option in National Instrument 45-106 – Prospectus Exemptions (NI 45-106) to file Reports of Exempt Distribution on Form 45-106F1 (Reports) once a year should start to consider.

The Canadian investment fund industry is regulated by, among other things, a number of National Instruments. The Investment Fund Rules Book, prepared by members of BLG's...