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 ON FULLY PAID LENDING PROPOSALS
CFTC EXTENDS PUBLIC COMMENT PERIOD FOR PROPOSED RULE ON REAL-TIME PUBLIC REPORTING REQUIREMENTS AND SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS
PROPOSED RULE AMENDMENTS - FULLY PAID SECURITIES LENDING AND FINANCING ARRANGEMENTS
CPMI-IOSCO PUBLISH DISCUSSION PAPER AND CALL FOR COMMENTS ON STREAMLINING VARIATION MARGIN IN CENTRALLY CLEARED MARKETS
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS