Hedge funds aren’t immune to the effects of the CRM2 reforms pushing increased transparency on the Canadian investment business
The guidance sets out the regulators’ expectations about the level of detail that should be included in disclosure from benchmark administrators
The guidance addresses the risk of a bank in resolution being unable to maintain access to critical clearing, payment, settlement and custody services
The purpose of the alert “is to support financial institutions in recognizing and reporting” financial transactions that may be related to sex trafficking
The committees are responsible for determining whether credit events have occurred in the credit default swaps market
The CSA, IIROC and the MFDA identify how compensation arrangements create conflicts of interest or lead advisors to sell unsuitable products
The BMO subsidiaries will also make a $2.1-million payment to the OSC and pay $90,000 in costs for overcharging certain retail clients
The proposal is part of an effort to improve transparency in the over-the-counter (OTC) derivatives markets
The U.S. SRO will undertake a search for a replacement and consider both internal and external candidates
The regulators will now release the paper on Jan. 10, 2017, which will go then go out for a longer than usual comment period of 150 days