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Stikeman Elliott LLP

Setting the Stage: CSA Prepare for Canada’s Business Conduct Regime for OTC Derivatives Dealers and Advisers

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The Canadian Securities Administrators (“CSA”) have released a few updates this summer regarding National Instrument 93-101 Derivatives: Business Conduct and its companion policy (collectively, the “Business Conduct Rule”)....more

Stikeman Elliott LLP

CIRO Embarks on Phase 3 of its Rule Consolidation Project and Proposes Integrated Fee Model

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The Canadian Investment Regulatory Organization (“CIRO”) recently published for comment proposals relating to Phase 3 of its rule consolidation project (the “Rule Consolidation Project”) as well as a new integrated fee model...more

Stikeman Elliott LLP

CIRO Moves Forward with Phase 2 of its Rule Consolidation Project

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The Canadian Investment Regulatory Organization (“CIRO”) recently published for comment proposals relating to Phase 2 of its rule consolidation project (the “Rule Consolidation Project”), which is designed to bring together...more

K&L Gates LLP

Cybersecurity Update: National Futures Association Proposes Cybersecurity Guidance Setting Forth General Requirements for Member...

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The National Futures Association (“NFA”) submitted to the Commodity Futures Trading Commission (“CFTC”) on August 28, 2015 a proposed Interpretive Notice (“Proposed Guidance”) for CFTC’s approval, which provides guidance to...more

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