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Results: 1-10 of 291

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


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 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 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


U.S. Volcker Rule passed by regulators
  • Stikeman Elliott LLP
  • Canada, USA
  • December 11 2013

Yesterday, the U.S. SEC, CFTC, FDIC, Federal Reserve, and Office of the Comptroller of the Currency approved the final rules implementing the


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


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


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


Canadian regulators provide temporary exemptions for swap execution facilities
  • Blake Cassels & Graydon LLP
  • Canada, USA
  • October 30 2013

Securities regulators in Ontario, Quebec, Alberta and Manitoba have temporarily exempted swap execution facilities, or SEFs, from recognition as