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OSFI Issues Draft Guideline for Derivatives Sound Practices for Federally Regulated Private Pension Plans
  • Blake Cassels & Graydon LLP
  • Canada
  • August 8 2017

On July 31, 2017, the Office of the Superintendent of Financial Institutions Canada (OSFI) published for comment a new draft guideline, titled:


Nadex’s Trade Practice Surveillance Program Criticized in CFTC Rule Review
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • August 6 2017

The Division of Market Oversight of the Commodity Futures Trading Commission identified various weaknesses in the trade surveillance program of the


CSA Withdraw Best Execution Disclosure Proposal
  • Stikeman Elliott LLP
  • Canada
  • July 7 2017

The CSA is withdrawing the best execution disclosure rules proposed in May 2014 in light of amendments to IIROC’s best execution rules which were


The Financial Report, 22 June 2017, News from the Americas
  • DLA Piper LLP
  • Canada
  • June 22 2017

Accenture and Microsoft band together to build digital ID network using Blockchain technology. Reuters reported that Accenture Plc and Microsoft Corp


CSA Proposals Aim to Simplify Reports of Exempt Distribution
  • McCarthy Tétrault LLP
  • Canada
  • June 12 2017

On June 8, 2017, the Canadian Securities Administrators (“CSA”) published for a 90-day comment period (ending on September 6, 2017), proposed


OSC Seeks Stakeholder Input on Proposed Derivatives Business Conduct Rule
  • Blake Cassels & Graydon LLP
  • Canada
  • June 1 2017

On May 29, 2017, the Ontario Securities Commission (OSC) hosted a half-day roundtable session to discuss the recently published Proposed National


Les organismes de réglementation canadiens proposent une réglementation générale de la conduite commerciale des courtiers et conseillers en dérivés
  • Blake Cassels & Graydon LLP
  • Canada, Global
  • May 31 2017

Le 4 avril 2017, les Autorités canadiennes en valeurs mobilières (les ACVM ) ont publié pour consultation le projet de Règlement 93-101 sur la


The Financial Report, 25 May 2017, News from the Americas
  • DLA Piper LLP
  • Canada, USA
  • May 25 2017

Reuters reported that the CFPB and the SEC would face structural changes under the President's fiscal 2018 budget proposal


CSA publish proposed business conduct rules for derivatives dealers and advisers
  • AUM Law
  • Canada, Global
  • May 4 2017

Earlier in April, the Canadian Securities Administrators (CSA) published proposed business conduct rules aimed to protect investors in


CSA Publishes Proposed Business Conduct Rules for Derivatives Dealers and Advisers
  • AUM Law
  • Canada
  • April 28 2017

Earlier this month, the Canadian Securities Administrators (CSA) published proposed business conduct rules aimed to protect investors in