IIROC published guidance to clarify how Order Execution Only (OEO) investment firms may use automation in their approval process...
CN Editor
August 29, 2019
GUIDANCE RESPECTING THIRD-PARTY ELECTRONIC ACCESS TO MARKETPLACES
USE OF IDENTIFIERS AND NOTIFICATION REQUIREMENTS RESPECTING CERTAIN ORDER EXECUTION ONLY AND DIRECT ELECTRONIC ACCESS CLIENTS AND ADVISERS
GUIDANCE RESPECTING ORDER EXECUTION ONLY ACCOUNTS AS A FORM OF THIRD-PARTY ELECTRONIC ACCESS TO MARKETPLACES
NEW GUIDANCE ON ORDER EXECUTION ONLY ACCOUNT SERVICES AND ACTIVITIES
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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