Professionals at AUM Law can help registered firms meet their training obligations by providing in-person or virtual training for staff, tailored to the requirements that apply to your firm, on a fixed-fee basis.

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...

Securities dealers, including CIRO member dealers, are subject to Canada's anti-money laundering (AML) and anti-terrorist financing (ATF) regime.

Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems.

Is your firm preparing for a regulatory examination? Are you ready? Do you want an independent assessment of your compliance program?

AUM Law is proud to sponsor the Q Wealth Partners National Conference held at the St. Regis Hotel in Toronto on December 7-9.

Subject to necessary ministerial approvals, these changes are expected to take effect May 5, 2015.

Not All Penguins Are Short: Short Selling in Canada Consultation ▪ Review of IIROC Arbitration Program – No Camouflage ▪ A Little Breathing Room – FSRA Announces...

OSC Releases Digital Engagement Report – Finding Stability Amidst Change...

Manitoba Joins the Crowd – Consultation Paper issued on Title Protection Framework ▪ New Potential – CSA Amends Rules to Provide for Commodity Benchmarks...

Registrants in Ontario must complete the 2024 Risk Assessment Questionnaire in the next few weeks and submit it through the Ontario Securities Commission's (OSC) Electronic Filing Portal.

The Assorted Flavours of CIRO's 2024 Priorities ▪ Cone of Conduct: Exemptions from Derivatives Business Conduct Rule ▪ Frozen Assets: CIRO Enforcement Report...

The Foreign Account Tax Compliance Act is a complex reporting and withholding regime enacted by the U.S. government in March, 2010.

Keep Calm and Soccer On; OSC Announces New Fee Rules as of April 2023 (or you Really Do Have to Pay to Play) ▪ Shooting for the Stars – FSRA Proposes to Eliminate DSCs for Segregated Funds...

In our February bulletin, we wrote about the importance of updating your SEDAR+ profile if the information contained in the profile is inaccurate.

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

On October 10, 2023, the Financial Services Regulatory Authority of Ontario (FSRA) launched a public consultation on its proposed 2024-2025 Statement of Priorities (SoP) and budget.

Compliance officers, risk officers and management at firms who meet the definition of "securities dealers" (including portfolio managers, exempt market dealers and CIRO members) take note...

The Canadian Investment Regulatory Organization (CIRO) was recently approved by the Financial Services Regulatory Authority of Ontario (FSRA) as a credentialing body for purposes...

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.