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Results: 1-10 of 125

MFDA enforcement proceedings

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • November 19 2014

The MFDA approved a settlement agreement in circumstances where the respondent, Alfonso Chin, acknowledged having engaged in securities related

Federal financial institutions legislative and regulatory reporter - 27 October, 2014

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • October 27 2014

The Reporter provides a monthly summary of federal legislative and regulatory developments of relevance to federally regulated financial institutions

Canada issues revised back-to-back loan rules

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • October 27 2014

Canadian corporations and trusts with outstanding debt (and their lenders), if a non-resident of Canada not dealing at arm’s length with the Canadian

Derivatives sound practices draft guideline released for federally- regulated financial institutions in Canada

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • October 9 2014

On October 1, 2014, the Office of the Superintendent of Financial Institutions (OSFI) released draft Guideline B-7 Derivatives Sound Practices

Federal financial institutions legislative and regulatory reporter - August 2014

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • September 17 2014

The Reporter provides a monthly summary of Canadian federal legislative and regulatory developments of relevance to federally regulated financial

The regulation of virtual currencies in Canada

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • September 10 2014

Canada is engaged in an important effort to reform its payment system. In recent years, there have been important legislative measures to enhance the

Federal financial institutions legislative and regulatory reporter - July 2014

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • July 23 2014

The Reporter provides a monthly summary of Canadian federal legislative and regulatory developments of relevance to federally regulated financial

IIROC releases Code of Conduct for CDOR without go forward role

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • July 7 2014

On June 1st, 2014, IIROC released a code of conduct for the Canadian Dollar Offered Rate ("CDOR"). A copy of the Code can be accessed here. The Code

Federal financial institutions legislative and regulatory reporter

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • June 17 2014

The Reporter provides a monthly summary of Canadian federal legislative and regulatory developments of relevance to federally regulated financial

MFDA enforcement proceedings

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • May 29 2014

A Settlement Agreement was approved relating to the use of partially completed or whited-out signed forms to process trades for 3 clients. Adeolu