Whether Canadian securities dealers can establish a global model of payment for research will depend on U.S. regulatory accommodation to MiFID II
The agreement will help the OSC and the FPSC carry out their registration/certification, compliance and enforcement duties
FINRA requires reporting of secondary-market transactions in Treasury securities
The Quebec regulator’s new strategic plan points out that factors such as fintech and intensifying competition in financial services will guide its work
Regulators must have the courage to foster a responsive regulatory climate while protecting investors
Regulators are focused on strengthening market resilience
Additional proposals include updates to rules on underwriting arrangements
An improved version of IOSCO’s multilateral memorandum of understanding will enable regulators to collect more information about online activity
The regulator will also look at ways to be more responsive to solutions from the investment industry while maintaining appropriate investor protection
The SRO has published a revised edition of the proposed rules, with comments due on May 12