On July 25, 2019, the applicable securities regulatory authorities approved amendments to UMIR Rule 6.6 (Amendments) that modify...
CN Editor
August 09, 2019
AMENDMENTS RESPECTING REASONABLE EXPECTATIONS TO SETTLE SHORT SALES
SHORT-SELLING DEALERS STAY SECRET
COMPLETION OF UMIR GUIDANCE UPDATE PROJECT
GATEKEEPER REPORTING OBLIGATION
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS