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The financial report November 21 2013 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • November 21 2013

According to CNBC, the Federal Reserve Board may delay by at least one year the implementation date for the Dodd-Frank Act’s Volcker Rule, which


Recent updates related to derivatives
  • Gowling Lafleur Henderson LLP
  • Canada, USA
  • January 19 2011

The recent passage of the Dodd-Frank Wall Street Reform Act and Consumer Protection Act (the "Dodd-Frank Act") in the United States of America, as well as the proposed regulation of derivatives contained within the Canadian Securities Act (the "Securities Act") which is currently before the Supreme Court of Canada, promises to change the face of derivatives transactions as we currently know them


SEC and CFTC release joint report on May 6 market volatility
  • Stikeman Elliott LLP
  • Canada, USA
  • October 5 2010

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) released a joint report on Friday outlining their findings respecting the extreme market volatility of May 6, 2010


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


Capital markets 2011 mid-year report
  • Torys LLP
  • Canada, USA
  • July 27 2011

To date, 2011 has been an exciting year in North American capital markets


CFTC sues Royal Bank of Canada for years long wash sale scheme
  • Dorsey & Whitney LLP
  • Canada, USA
  • April 4 2012

The Commodity Futures Trading Commission filed an enforcement action against the Royal Bank of Canada alleging a years long, riskless wash sale scheme conducted by a small group of RBC personnel to generate certain lucrative Canadian tax benefits


CFTC signs information sharing agreement with the Alberta Securities Commission
  • Winston & Strawn LLP
  • Canada, USA
  • June 21 2010

On June 16th, the CFTC announced that it and the Alberta Securities Commission have signed a new Memorandum of Understanding to enhance cooperation and the exchange of information relating to the supervision of cross-border clearing organizations


CFTC and ASC sign cooperation agreement
  • Stikeman Elliott LLP
  • Canada, USA
  • June 25 2010

On June 16, the Alberta Securities Commission and the U.S.Commodity Futures Trading Commission (CFTC) announced the signing of a Memorandum of Understanding intended to enhance the cooperation between the two regulators in connection with their functions relating to the supervision of covered clearing organizations


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

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


Financial services legislative and regulatory update - June 11, 2012
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • Canada, Spain, USA
  • June 11 2012

On Sunday, Spain announced that it would be seeking a bailout and the Eurozone banks agreed to lend Spain 100 billion euros ($125 billion dollars) in order to stabilize its banks