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Results: 1-10 of 380

Whistleblower Incentive Programs Continue to Gain Traction as the U.S. CFTC Announces $10-million Payout
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • May 6 2016

With the Ontario Securities Commission's new incentive-based whistleblower program now on the horizon, recent awards under comparable whistleblower


US Commodity Futures Trading Commission Signs Memorandum of Understanding with Canadian Provinces on Cross-Border Supervision
  • Shearman & Sterling LLP
  • Canada, USA
  • May 5 2016

On April 20, 2016, CFTC Chairman Timothy Massad and authorities for three Canadian provinces signed a March 2014 Memorandum of Understanding


Additional Canadian securities regulators enter into MOU with CFTC
  • Stikeman Elliott LLP
  • Canada, USA
  • May 2 2016

The securities regulators in New Brunswick (FCNB), Nova Scotia (NSSC) and Saskatchewan (FCAA) have announced that that they have signed counterparts


CFTC Enters Into Information Sharing MOU With Three Additional Canadian Provinces
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • April 22 2016

On April 20, the Commodity Futures Trading Commission and three Canadian regulatory authorities signed counterparts to a memorandum of understanding


Bridging the Weeks by Gary DeWaal: November 23 - December 4 and 7, 2015 (Insider Trading in Futures; Newer, Tougher AML Requirements; New CCO Obligations; Possible Bitcoin Fraud)
  • Katten Muchin Rosenman LLP
  • Canada, European Union, Global, USA
  • December 6 2015

Compliance officers may be in the bullseye again as a result of new regulatory proposals introduced during the prior two weeks by the New York State


CFTC registers ICE Futures Canada and Montreal Exchange as FBOTs
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • August 28 2015

The Commodity Futures Trading Commission has issued orders granting foreign board of trade (FBOT) registration to ICE Futures Canada, Inc. and


Issuers quoted in the U.S. over-the-counter markets
  • Gowling WLG
  • Canada, USA
  • August 27 2015

On August 25, 2015, the participating provinces and territory in the Cooperative Capital Markets Regulatory System achieved an important milestone


ICE Futures U.S. and Canada amend rules to expressly prohibit disruptive trading practices
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • January 4 2015

ICE Futures U.S. and ICE Futures Canada proposed new rules expressly prohibiting disruptive trading practices and simultaneously issued proposed


The financial report December 11, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • December 11 2014

In what may be viewed as a watershed event in insider trading jurisprudence, the Second Circuit unanimously struck down the convictions of Todd


CFTC extends swap reporting relief applicable to Canadian dealers
  • Stikeman Elliott LLP
  • Canada, USA
  • November 28 2014

On November 24, the U.S. Commodity Futures Trading Commission issued a no-action letter to extend, by up to a year, current relief from certain swap