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SEC enforcement quarterly - 2nd quarter 2016
  • Sidley Austin LLP
  • Canada, USA
  • August 23 2016

As we have reported previously, in a prior edition of the SEC Enforcement Quarterly, the enactment of the Dodd-Frank Wall Street Reform and Consumer


Thinking at the Margin: Canadian Provincial Regulators Issue Margin Proposals for Non-Cleared Derivatives
  • Blake Cassels & Graydon LLP
  • Canada
  • August 12 2016

Regulators of many financial institutions, federally in Canada and internationally, have established rules requiring margin to be exchanged in


Change at the Margins: CSA Publishes Consultation Paper on Margin Requirements for Non-Centrally Cleared Derivatives
  • McMillan LLP
  • Canada
  • August 2 2016

On July 7, 2016, the Canadian Securities Administrators ("CSA") Derivatives Committee ("Committee") released CSA Consultation Paper 95-401 - Margin


Proposed Amendments to NI 31-103 and NI 33-109
  • AUM Law
  • Canada
  • July 31 2016

On July 7, 2016, the Canadian Securities Administrators (CSA) released for comment proposed amendments to NI 31-103 - Registration Requirements


In Brief- July 2016
  • AUM Law
  • Canada
  • July 31 2016

Securities regulators in Alberta, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island and


CFTC Enters Into Information Sharing MOU With Four Additional Canadian Provinces
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • July 29 2016

On July 28, the Commodity Futures Trading Commission and four Canadian provinces or territories signed counterparts to a memorandum of understanding


Derivatives Update: CSA Propose Margin and Collateral Requirements for Non-Centrally Cleared Derivatives
  • McCarthy Tétrault LLP
  • Canada
  • July 28 2016

The Canadian Securities Administrators (CSA) recently published for comment Consultation Paper 95-401 - proposing a framework for minimum margin


NI 33-109 and Commodity Futures Act registration forms proposed to be amended
  • Stikeman Elliott LLP
  • Canada
  • July 14 2016

The Canadian Securities Administrators (CSA) have proposed amendments to certain forms under National Instrument 33-109 Registration Information


OSC releases 2016-2017 Statement of Priorities
  • Stikeman Elliott LLP
  • Canada
  • July 12 2016

Under these goals, the OSC intends to, among other things: Implement regulatory reforms that improve the advisorclient relationship by publishing


Canadian Securities Administrators publish consultation paper on margin requirements for non-centrally cleared derivatives
  • Stikeman Elliott LLP
  • Canada, Global
  • July 8 2016

Yesterday the CSA published for comment a Consultation Paper proposing a framework for margin requirements on non-centrally cleared derivatives. The