As indicated in IIROC Notice 19-0147, the Canadian Securities Administrators (CSA) have approved IIROC’s: (1) Investor Applicatio...
CN Editor
August 23, 2019
SHORT-SELLING DEALERS STAY SECRET
COMPLETION OF UMIR GUIDANCE UPDATE PROJECT
GATEKEEPER REPORTING OBLIGATION
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
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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