Plans for an experiment to explore the impact of regulating trading venues’ fee structures are sparking joy with many market play...
CN Editor
March 08, 2019
CSA PUBLISHES PROPOSED AMENDMENTS TO INSIDER REPORTING REQUIREMENTS FOR COMMENT
CSA STAFF NOTICE 11-349 NOTICE OF LOCAL AMENDMENTS IN CERTAIN JURISDICTIONS
CANADIAN SECURITIES REGULATORS REPORT ON KEY OVERSIGHT ACTIVITIES OF CIRO AND CIPF
AMENDMENTS RESPECTING REASONABLE EXPECTATIONS TO SETTLE SHORT SALES
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN