Regulation

Regulators amending derivatives trade reporting rules

Several securities regulators across Canada have published for comment proposed amendments to both Multilateral Instrument 96-101 (Trade Repositories and Derivatives Data Reporting) and its companion policy (MI 96-101).

By Staff |February 16, 2016

1 min read

IIROC wants court authority to collect fines

IIROC has a dismal record of collecting fines levied against individuals, but that could soon change.

By Staff |February 1, 2016

2 min read

U.S. rep allegedly borrowed from client for used-car business

FINRA has imposed a four-month suspension on Marco Antonio Daniel.

By Staff |February 1, 2016

1 min read

Analysis of new prospectus exemption: BLG

Securities regulators in five provinces have adopted a new exemption to provide retail investors with greater access to the exempt market.

By Staff |January 19, 2016

1 min read