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Last week, the Committee on Payment and Settlement Systems and the Technical Committee of the International Organization of Securities Commissions published a final report regarding OTC derivatives data reporting and aggregation requirements.

On November 30, 2020, Firm Capital Mortgage Investment Corporation (TSX: FC) announced that it had closed its previously announced bought deal public offering of common shares.

In response to a letter from the Center for Audit Quality, the U.S. Securities and Exchange Commission has stated that foreign private issuers that prepare financial statements in accordance with IFRS will not be required to submit, or post online, interactive data files (using XBRL), until the SEC specifies a taxonomy for use in preparing such interactive data files.

The Globe and Mail today published Board Games 2010, its 9th annual review of corporate governance practices in Canada.

With recognition that several of its members use or are considering the investor questionnaires, the MFDA has developed a discussion paper on the issue.

IIROC released guidance yesterday regarding the communication, supervision and retention of advertisements, sales literature and correspondence by dealers.

For further information, please see the OSC Staff Notice of Commission Approval and IIROC Rules Notice 15-0249.

The Investment Industry Regulatory Organization of Canada today issued final guidance regarding the management of stop loss orders in light of dealers' obligations under the new UMIR electronic trading rule amendments effective March 1, 2013.

Specifically, IIROC is proposing that the 15% margin provision be excluded where a futures exchange calculates and publishes maintenance margin every day.

The released proposed amendments from the Investment Industry Regulatory Organization of Canada to its Dealer Member Rules that would result in the repeal of Dealer Member Rule 3400, Requirement 15 in its entirety and replace it with a requirement that would permit Dealer Members to include in paper based research reports covering more than six issuers, directions as to where the Rule 3400 Disclosures may be found.

The Investment Industry Regulatory Organization of Canada yesterday proposed a new transaction-based debt market regulation fee model

Last week, the Investment Industry Regulatory Organization of Canada released a study that considered whether short selling activity on Canadian markets of inter-listed securities is affected by the triggering of short sale circuit breakers in the U.S. Specifically, the study sought to determine whether cases of U.S. circuit breakers being triggered during the study period in early 2011 resulted in any systemic redirection of short selling activity to Canadian markets.

IIROC released a notice to initiate a consultation process to consider whether the existing proficiency assurance model best serves the public interest.

The Investment Industry Regulatory Organization of Canada (IIROC) recently announced the withdrawal of proposed amendments to its Dealer Member Rules ...

A friendly reminder to registrants of the requirement under Part 12 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations...

Last week, the International Organization of Securities Commissions (IOSCO) released a consultation report intended to provide industry and regulators with guidelines against which the quality of regulation and industry practices concerning exchange traded funds could be assessed.

Last week, the International Swaps and Derivatives Association released a letter it submitted to the Ontario government in support of the Ontario Bar Association's proposal to provide an automatic first priority ranking to financial institutions that have a security interest in cash in financial accounts perfected by control.

Institutional Shareholder Services Inc. today published the annual updates to its Canadian Corporate Governance Policy.