Every month, our colleagues at AUM Law write informative articles on regulatory compliance matters for securities registrants. The September edition is below. We hope you find these articles informative and encourage you to contact your BLG lawyer or any of the lawyers at AUM Law if you have questions about anything written in this month's Bulletin.
BLG's Investment Management GroupKey Contacts Lynn M. McGrade, National Leader |
AUM Law Key Contact |
September Bulletin highlights:
- Discussion Paper Released on Upfront Compensation for Segregated Funds and IVICs: Transition Time
- Back to the Books: OSC Study Finds Many Investors Overestimate Their Knowledge
- Amendments to National Instrument 45-106 on the Horizon as the Listed Issuer Financing Exemption Takes Flight
- Not All Autumn Skies and Apple Pies – Could New Trust Tax Reporting Rules Apply to You?
- It's Getting Cooler but the Regulators are Heating Up: Review of Mutual Fund Sales Practices
AUM Law has been part of BLG since May 2021 and is integrating with BLG's suite of alternative legal services known as BLG Beyond.
AUM Law focuses on serving the asset management sector with legal and consultancy services related to regulatory compliance.
AUM Law provides its registrant clients with annual fixed-fee regulatory compliance support plans and related offerings. It provides registrants with an efficient, innovative approach to help manage their legal and regulatory compliance obligations.
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