Proposals form the second part of the Client Relationship Model
Canada’s reputation sullied by firms engaged in abusive activities in the U.S. OTC markets
DBRS, Fitch, Moody’s and S&P recognized as DROs under new regulatory framework
Two fund manager registration models have been proposed by regulators
Two new CSA notices provide clear guidance to assist issuers in preparing and filing exempt market documents
Rule changes, to take effect Oct. 10, aim to ensure that small investors are protected
The exemption aims to ensure that firms seeking to hedge business risks aren’t discouraged from using OTC derivatives
A wide range of views on CSA paper
Implementation of the just approved CRM will take several years
Investors warned against dealing with unregistered Forex firms