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Results: 1-10 of 108

Fintech in Canada
  • Stikeman Elliott LLP
  • Canada, Global
  • May 1 2018

A structured guide to Fintech in Canada


IIROC Requests Comments on the Mandatory Reporting of Cybersecurity Incidents
  • Stikeman Elliott LLP
  • Canada
  • April 19 2018

The Investment Industry Regulatory Organization of Canada (IIROC) is seeking comments on proposed amendments to the Dealer Member Rules to require the


IIROC Issues Guidance on Exemption Applications
  • Stikeman Elliott LLP
  • Canada
  • April 19 2018

The Investment Industry Regulatory Organization of Canada (IIROC) recently issued a notice setting out how a member (Dealer Member) may make an


Projet de modification de la cotisation minimale des courtiers membres de l’OCRCVM
  • Stikeman Elliott LLP
  • Canada
  • February 8 2018

Dans le but de simplifier une partie du modèle de tarification annuelle des courtiers membres, l’OCRCVM propose une cotisation minimale unique de 22


Securities Regulators Highlight Concerns with Complaint Handling Systems
  • Stikeman Elliott LLP
  • Canada
  • December 19 2017

The Canadian Securities Administrators (CSA), Investment Industry Regulatory Organization of Canada (IIROC) and Mutual Fund Dealers Association of


CSA and IIROC to Consider Internalization
  • Stikeman Elliott LLP
  • Canada
  • December 11 2017

In the face of stakeholder concerns about the internalization of order flow, the Canadian Securities Administrators (CSA) and the Investment Industry


Le rapport annuel 2016-17 de l’OCRCVM aborde ses nouveaux pouvoirs d’enquête et de perception
  • Stikeman Elliott LLP
  • Canada
  • September 25 2017

The Investment Industry Regulatory Organization of Canada (IIROC) released its 2016-17 Annual Report on August 28, 2017. As 2016-17 represented the


Approval and Implementation of Amendments to IIROC Rules Rules in Connection with Canada’s Upcoming Move to T2 Trade Settlement
  • Stikeman Elliott LLP
  • Canada
  • August 29 2017

Amendments pertaining to the investment industry’s transition to a shorter standard settlement cycle for most equity and long-term debt securities


The Equity Margin Project: IIROC Withdraws Phase II of the Main Proposal for the New Methodology for Margining Equity Securities
  • Stikeman Elliott LLP
  • Canada
  • August 11 2017

On July 13, 2017, the Investment Industry Regulatory Organization of Canada published IIROC Notice 17-0144 Withdrawal of the New Methodology for


IIROC Best Execution Amendments and Guidance
  • Stikeman Elliott LLP
  • Canada
  • August 3 2017

On July 6, 2017, the Investment Industry Regulatory Organization of Canada (IIROC) published final amendments to the Universal Market Integrity Rules