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Results: 1-10 of 34

UK implements "twin peaks" model of financial regulation

  • Stikeman Elliott LLP
  • -
  • United Kingdom
  • -
  • April 2 2013

On April 1, the U.K. Moved to a "twin peaks" model of financial regulation that saw the Financial Services Authority cease to exist and its work

BCSC extends MIE registration exemption to June 2013

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • November 29 2012

The British Columbia Securities Commission yesterday announced that it is extending the exemption from the dealer registration requirement for trades in securities of mortgage investment entities (MIEs) until June 30, 2013

Canada proposes amendments to Payment Clearing and Settlement Act to facilitate clearing of OTC derivatives

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • October 19 2012

Bill C-45 proposes changes to the Payment Clearing and Settlement Act to enhance certainty that clearing house default rules will be enforceable in the event of a clearing member default

OSFI releases draft revised corporate governance guideline

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • August 14 2012

On August 7, 2012, Canada's federal financial institutions regulator, the Office of the Superintendent of Financial Institutions (OSFI), released for comment a draft of its long-awaited revised Corporate Governance Guideline (the Revised Guideline

Quebec's Complaint Reporting System - reminder of semi-annual filings for registrants in Quebec

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • July 6 2012

Firms registered or otherwise licensed by the AMF in Québec, including as securities dealers or advisers, must file their semi-annual report of client complaints on the AMF’s Complaint Reporting System (CRS) by July 30 covering the period of January 1 to June 30

Proposed changes to the UK's Listing Rules - Key changes explained

  • Stikeman Elliott LLP
  • -
  • United Kingdom
  • -
  • March 29 2012

In January of this year the U.K. securities regulator, the Financial Services Authority, issued Consultation Paper CP122 proposing amendments to rules applied by it as the UK Listing Authority to companies listed or seeking listings on the UK’s regulated stock market

BCSC extends registration exemption for MIEs until end of year

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • March 8 2012

On March 2, the British Columbia Securities Commission (BCSC) extended the exemption from the dealer registration requirement for trades in securities of mortgage investment entities (MIEs) until December 31, 2012

OBA submission on cash collateral finalized

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • February 14 2012

As I discussed in my post of January 4, the Ontario Personal Property Security Law Sub-Committee of the Ontario Bar Association’s Business Law Section has been working on a draft proposal over the last year to amend Ontario's personal property security legislation to deal more effectively with cash collateral

Department of finance initiates consultations on strengthening AMLATF regime

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • February 7 2012

Late last year, the Department of Finance released a consultation paper seeking views on measures to further strengthen the Canadian anti-money laundering (AML) and anti-terrorist financing (ATF) regime

IIROC updates compliance and supervision guidance

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • January 13 2012

On December 15, the Investment Industry Regulatory Organization of Canada (IIROC) released a draft guidance note regarding the role of compliance and supervision at member firms

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