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CSA, IIROC Provide Update on Conflict of Interest Resulting from Soliciting Dealer Requirements

by Barbara Hendrickson | Jul 2, 2019

In April 2018, the Canadian Securities Administrators issued (CSA) CSA Staff Notice 61-303, Soliciting Dealer Requirements and Request for Comment (the CSA Staff Notice and Request for Comment) for stakeholder consultation. After the comment period ended and after...

Canadian Securities Regulators Publish IIROC Oversight Review Report

by Barbara Hendrickson | May 14, 2019

On April 18, 2019, the Canadian Securities Administrators (CSA), along with seven participating jurisdictions, released its oversight review (the Review) of the Industry Regulatory Organization of Canada (IIROC). The risk-based review of IIROC’s functional areas and...

IIROC Publishes Rules Notice and Request for Comment Regarding Proposed Alternative Forms of Discipline

by Barbara Hendrickson | Apr 30, 2019

On April 25, 2019, the Investment Industry Regulatory Organization of Canada (IIROC) published Rule Notice and Request for Comment 19-0076, (the rule notice and request for comment) for a period ending July 24, 2019, regarding two proposed alternative forms of...

CSA and IIROC Publish Consultation Paper and Request for Comment on Proposed Regulatory Framework for Cryptoasset Trading Platforms

by Barbara Hendrickson | Mar 20, 2019

The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) have published a joint consultation paper and a request for comment, Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms (The...
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