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Results: 1-10 of 67

The financial report April 3, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • April 3 2014

In a speech at the Securities Industry and Financial Markets Association Compliance & Legal Society Annual Seminar, SEC Chair Mary Jo White discussed

The financial report March 20, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • March 20 2014

The US Department of Labor published for comment a proposal that would require pension plan service providers to furnish pension plan fiduciaries

The 2014 Canadian federal Budget and financial services

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • February 13 2014

The 2014 Budget of the Government of Canada includes a number of significant financial sector policy initiatives of interest to financial

CSA publishes proposed customer clearing rule

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • February 5 2014

The Canadian Securities Administrators (CSA) published the proposed Model Provincial Rule on Customer Clearing and Protection of Customer Collateral

The financial report January 23, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • January 23 2014

Five US financial regulators (the Federal Reserve Board, FDIC, OCC, CFTC and SEC) published an interim final rule that will allow banks to retain

The financial report January 9, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • January 9 2014

The Federal Reserve Board, FDIC, OCC, and SEC announced a review of whether it would be appropriate and consistent with the Dodd-Frank Act to exempt

Deadline approaches to comment on proposed prospectus exemption for TSXV issuers

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • January 8 2014

Under Canadian securities laws, in order to conduct a distribution of its securities, an issuer must file and receive a receipt for a prospectus or

OSC gains derivatives rule-making authority

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • January 6 2014

As of December 31, 2013, certain derivatives-related amendments to the Ontario Securities Act (OSA) primarily relating to the rule-making authority of

Canadian regulators propose adopting international standards for clearing agencies, central securities depositories and settlement systems

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • December 20 2013

The Ontario Securities Commission (OSC), Quebec's Autorité des marchés financiers (AMF) and the Manitoba Securities Commission earlier

The Financial Report December 12 2013 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • December 12 2013

US financial services regulators voted to adopt regulations implementing the Dodd-Frank Act’s “Volcker Rule,” which prohibit deposit-taking banks