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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


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


The financial report October 2, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • October 7 2014

The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of


The financial report April 17, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • April 17 2014

The D.C. Circuit Court of Appeals has ruled that the reporting requirement under Dodd-Frank, which requires that an issuer describe its products as


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