President Donald Trump is set to sign orders that will have a major impact on Wall Street.
IIROC has been granted new legal powers in Prince Edward Island. The Office of the Superintendent of Securities for the province and IIROC have announced that, through an authorization order, IIROC now has authority to collect fines against individuals it has disciplined directly through the Supreme Court of Prince Edward Island. The order says the […]
Manulife Financial Corporation has taken steps to settle pending class-action lawsuits in Ontario and Quebec.
The Canadian Securities Administrators has published CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols.
A hearing panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada has issued its Reasons for Decision in connection with a disciplinary hearing held in Calgary, Alberta on October 26, 2016 in the matter of Sharon June Fauth.
The MFDA has issued several Reasons for Decisions documents.
Canada's Ombudsman for Banking Services and Investments (OBSI) has published its strategic plan.
Staff from the British Columbia Securities Commission, the Ontario Securities Commission and the Autorité des marchés financiers have published Multilateral Staff Notice 51-347 Disclosure of Cybersecurity Risks and Incidents. The notice reports the findings of a review announced by the Canadian Securities Administrators (CSA) in Staff Notice 11-332 Cybersecurity (Staff Notice 11-332) and provides disclosure […]
The Canadian Securities Administrators (CSA) today announced two new national instruments affecting over-the-counter (OTC) derivatives trading in Canada. The national instruments are part of Canada’s ongoing implementation of global OTC derivatives market reforms. Read: How and why to use derivatives: IMCA conference National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives requires certain counterparties to […]
The Canadian Securities Administrators (CSA) today announced additional details regarding its roundtable on cybersecurity issues. The roundtable follows the publication of CSA Staff Notice 11-332 Cybersecurity, which identifies related issues and opportunities. Read: Top 10 business risks for 2017 The CSA roundtable will take place Monday, February 27, 2017, on floor 22 of the Ontario […]