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The Ontario Securities Commission today issued a notice approving Alpha Group's application to become a recognized exchange.

Uncertainty lingered at the outset of 2016 in Canada from a slowdown in activity that began in the previous year

Earlier this week, the Canadian Coalition for Good Governance published its annual review of best practices for proxy circular disclosure, which includes its list of this year's "Governance Gavel Awards" winners.

In late August, the Canadian Investment Regulatory Organization (CIRO) released Bulletin 23-0096 Proposed Clarifying Amendments to Registration and Proficiency Requirements.

In a judgment released earlier this month, the United States Court of Appeals for the Second Circuit found that the Financial Industry Regulatory Authority, which regulates securities firms doing business in the U.S., lacks the authority to bring court actions to collect disciplinary fines.

On December 10, 2015, the Canadian Securities Administrators (CSA) published for comment proposed amendments regarding mutual fund and ETF risk classification methodology...

The Canadian Securities Administrators today released guidance intended to clarify the registration requirements that apply to mortgage investment entities (MIEs).

The Canadian Securities Administrators today released a notice summarizing the results of their continuous disclosure review program for fiscal 2011.

Our Business Law and Financial Services lawyers wrote an article on a new customer clearing rule published by the Canadian Securities Administrators

In this episode, Kori Williams chats with senior insolvency partner, John Salmas, and senior banking and finance associate, Alessandro Bozzelli on anti-assignment provisions in critical contracts,...

The Canadian federal government has recently announced the final publication of new regulations that will govern the system for resolving complaints regarding products or services provided by banks and authorized foreign banks in Canada.

The Investment Industry Regulatory Organization of Canada (IIROC) announced today that it is adopting new fee models for market and dealer regulation effective April 1, 2012.

In light of its announcement last week that UMIR amendments will soon result in the repeal of pricing restrictions on short sales, IIROC has also issued proposed guidance on short sale and short-marking exempt order designations.

Earlier this week, the Investment Industry Regulatory Organization of Canada (IIROC) published Notice 11-0277 relating to securities trading halts in coordination with the application of "circuit breakers" on U.S. markets for the fourth quarter of 2011.

On February 3, IIROC, as part of its plain language rule re-write project, published a proposed series of rules respecting margin requirements

An investment advisor reached a settlement agreement with IIROC whereby he agreed to a fine of $20,000, $2,000 in costs and a rewrite of the CPH.

In the Canadian market, SunGard provisions have become more prevalent in commitment letters for large Canadian acquisition financings in the last few years.

On March 30, 2017, the International Swaps and Derivatives Association, Inc. (ISDA), with the assistance of Blakes lawyers, published the ISDA Canadian Clearing Classification Letter.