Keyword: Securities regulations

570 results found

The organization is accepting applications until March 22

Decision raises liquidity and custody issues

Securities regulators are developing a new, national exemption that would mimic an exemption introduced by several provinces

Proposal would give all issuers the ability to test market interest in an IPO before filing

global markets

Ruling to enable sharing of data is first of its kind

CGFS report recommends policy measures for bolstering capital markets

TMX Group asked the regulators last week for more time to analyze and provide feedback on the plans

Sentence follows a recent conviction and ruling in a separate, criminal matter

  • By: IE Staff
  • January 11, 2019 October 17, 2019
  • 10:31

Securities regulators in Canada and the U.S. are planning a coordinated study

TMX Group argues that domestic clearing firms are subject to prescriptive requirements while some foreign players are granted exemptions from these requirements