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Dealers Derivatives

Stikeman Elliott LLP

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

Stikeman Elliott LLP on

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

Blake, Cassels & Graydon LLP

Quebec Blanket Decision Affording Relief for Certain Derivatives Activities to be Revoked in June 2016

The Quebec Autorité des marchés financiers (Authority) is revoking a long-standing blanket decision (Blanket Decision) that exempts persons conducting dealer or adviser activities with accredited investors in respect of...more

Katten Muchin Rosenman LLP

Bridging the Week - August 2015 #5

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

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