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On November 24, 2007, Canada's federal Department of Finance announced proposed new regulations under the Bank Act, Cooperative Credit Associations Act and Trust and Loan Companies Act that will apply to Principal Protected Notes (PPNs).

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.

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

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

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

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.

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.

Le Nouveau-Brunswick adhère au protocole d'entente canadien sur la surveillance des bourses

The MFDA released a paper to provide guidance on the use by mutual fund dealers of investor questionnaires to assist in the know-your-client process.

Ministerial approval has now been granted to amendments to implement certain aspects of Phase 2 of the Modernization of Investment Fund Product Regulation Project.

The Mutual Fund Dealers Association of Canada (MFDA) has proposed amendments to its rules dealing with general powers of attorney from a family member of a Member or an Approved Person.

Earlier this month, the U.S. Securities and Exchange Commission announced the approval of additional listing criteria for companies that become public through a reverse merger.

Nova Scotia's Securities Transfer Act, which gained Royal Assent back in May, has now been proclaimed into law.

The Ontario Securities Commission announced last week that it has approved amendments to IIROC's Universal Market Integrity Rules, proposed in November 2009, that are consequential to the CSA's implementation of changes to National Instrument 23-101 Trading Rules regarding trade-through protection.