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The Canadian Securities Administrators today released model provincial rules and related guidance in regards to customer clearing of OTC derivatives and the protection of customer collateral and positions.

The CSA recently issued reminders to market participants of the shortening of the standard settlement cycle from three days after the date of a trade (T+3) to two days after the date of a trade (T+2) on September 5, 2017.

Following the United States’ lead in implementing the Volcker Rule, on January 29, 2014, the European Commission proposed a Regulation of the European Parliament and of the Council on structural measures improving the resilience of EU credit institutions.

On March 1, 2019, Firm Capital Mortgage Investment Corporation (TSX: FC) announced that it had closed its previously announced bought deal offering of common shares ...

The applicable securities regulatory authorities recently approved amendments to the Investment Industry Regulatory Organization of Canada (IIROC) Dealer Member Rule 8.7 Dealer Member Resignations, Amalgamations, Etc.

On July 26, 2018, the Investment Industry Regulatory Organization of Canada (IIROC) proposed amendments to its Dealer Member Rules that would prohibit Dealer Members ...

The Investment Industry Regulatory Organization of Canada (IIROC) released guidance earlier this week on the meaning of "date of the offering" in order to clarify how to determine the length of a quiet period.

IIROC yesterday released a set of responses to frequently asked questions in regards to implementation of its Client Relationship Model.

The IIROC released proposed guidance designed to establish a framework for Canadian marketplaces to adopt appropriate marketplace thresholds

The Investment Industry Regulatory Organization of Canada released its Enforcement Report for 2013.

The Consolidated Rules will be implemented on September 1, 2016, except Rule 8300 (Hearing Committee) which was effective as of June 9, 2016.

The IIROC has published an updated list of priorities and timeframes for initiatives that may require dealer members to act over the next 12 months.

Last week, IIROC republished a proposed rule that would require reporting of debt transactions.

La semaine dernière, la Commission des valeurs mobilières de l'Ontario (CVMO) a annoncé le gel des droits de participation et d'activité à leurs niveaux actuels après...

La Commission des valeurs mobilières de l'Ontario vient d'annoncer que des modifications au Règlement 24-102 sur les obligations relatives aux chambres de compensation...

On December 8, 2022, the Canadian Securities Administrators (the "CSA") and the Investment Industry Regulatory Organization of Canada ("IIROC") jointly published Staff Notice 23-329: Short Selling...

Amendments to the "at-the-market" distribution (ATM) regime come into force on August 31, 2020 and will ease the ATM offering process for reporting issuers in Canada.