IIROC has published for comment proposed amendments to the Dealer Member Rules that would require firms to report the following...
CN Editor
July 12, 2019
IIAC COMMENTS TO THE CSA REQUEST FOR FEEDBACK ON DECEMBER 2022 SEC MARKET STRUCTURE PROPOSALS AND POTENTIAL IMPACT ON CANADIAN CAPITAL MARKETS
CFTC ISSUES PROPOSED GUIDANCE REGARDING THE LISTING OF VOLUNTARY CARBON CREDIT DERIVATIVES CONTRACTS
CANADIAN SECURITIES REGULATORS PROPOSE BINDING REGIME FOR INVESTMENT-RELATED DISPUTES
AMENDMENTS TO THE OPERATIONS MANUAL OF THE CANADIAN DERIVATIVES CLEARING CORPORATION TO INCLUDE A GROSS CLIENT MARGIN BALANCE RISK ACCOUNT FORECAST
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A PERFECT STORM LIES AHEAD FOR ADVISORS AND DEALERS
BANK CUSTOMER QUESTIONS SIGNIFICANT FEES CHARGED TO HIS BUSINESS ACCOUNT
FINTRAC PUBLISHES ITS 2022-23 ANNUAL REPORT, SAFE CANADIANS, SECURE ECONOMY
CIRO SANCTIONS POLLITT & CO. INC. FOR INTERNAL CONTROL VIOLATIONS