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Results:11-20 of 20

IIROC publishes trade confirmation and matching requirements
  • Stikeman Elliott LLP
  • Canada
  • April 9 2010

The Investment Industry Regulatory Organization of Canada (IIROC) today published proposed amendments to its Dealer Member Rules intended "to promote compliant trade matching practices, as well as to eliminate the sending of duplicative trade related correspondence to clients."


SEC amends proxy rules to allow e-proxy flexibility
  • Stikeman Elliott LLP
  • USA
  • March 5 2010

On February 22, the US Securities and Exchange Commission (SEC) announced that it was amending its proxy rules to improve the "notice and access" model for furnishing proxy materials to shareholders.


Government introduces legislation to establish minimum sentences for fraud
  • Stikeman Elliott LLP
  • Canada
  • October 22 2009

The Government of Canada has now introduced Bill C-52 An Act to amend the Criminal Code (sentencing for fraud), first discussed in our post of October 20.


IIROC publishes notice regarding best price obligation
  • Stikeman Elliott LLP
  • Canada
  • April 17 2009

IIROC has published notice that regulatory authorities have approved amendments to the Universal Market Integrity Rules respecting the "best price" obligation.


IIROC publishes strategic plan
  • Stikeman Elliott LLP
  • Canada
  • March 9 2009

The Investment Industry Regulatory Organization of Canada recently published a strategic plan, dated December 2008, which sets out IIROC's broad goals and strategies.


Michael Kilby
  • Stikeman Elliott LLP


Keith R. Chatwin
  • Stikeman Elliott LLP

Ramandeep Grewal
  • Stikeman Elliott LLP

Shawn C.D. Neylan
  • Stikeman Elliott LLP