The primary purpose of the Proposed Amendments is to reduce the regulatory burden associated with the reporting requirements for ...
CN Editor
April 19, 2019
UNLOCKING CAPITAL AND COMPETITIVENESS: PMAC AND CFA SOCIETIES CANADA URGE ONTARIO TO ADVANCE OSC PARTICIPATION IN THE PASSPORT SYSTEM
USE OF IDENTIFIERS AND NOTIFICATION REQUIREMENTS RESPECTING CERTAIN ORDER EXECUTION ONLY AND DIRECT ELECTRONIC ACCESS CLIENTS AND ADVISERS
GATEKEEPER REQUIRMENTS FOR DIRECT ELECTRONIC ACCESS AND ROUTING ARRANGEMENTS
GUIDANCE RESPECTING ORDER EXECUTION ONLY ACCOUNTS AS A FORM OF THIRD-PARTY ELECTRONIC ACCESS TO MARKETPLACES
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CIRO NEEDS TO STOP SAYING "SHOULD"
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
OPINION: WHO WILL PAY FOR CIRO"S DATA BREACH?
FORMER BROKER CHARGED IN "FREE RIDER" CASE