Comments on the revised consultation draft of the provincial/territorial Capital Markets Act (CMA) and the draft initial regulations (Initial Regulations and, together with the CMA, the Consultation Drafts) for the proposed...more
3/10/2016
/ Banks ,
Board of Directors ,
Canada ,
Capital Markets ,
Capital Markets Act (CMA) ,
Derivatives ,
Due Diligence ,
Misrepresentation ,
Ontario Securities Act ,
Over The Counter Derivatives (OTC) ,
Personal Liability ,
SRO
Draft derivatives regulations and a revised draft of the uniform Capital Markets Act (CMA) were issued in August 2015 as part of the process to implement the new Cooperative Capital Market Regulatory System (Cooperative...more
10/28/2015
/ Broker-Dealer ,
Canada ,
Canadian Securities Administration ,
Capital Markets ,
Comment Period ,
Commodity Futures Contracts ,
Derivatives ,
Exemptions ,
Harmonization Rules ,
Policy Drafting ,
Registration Requirement ,
Regulatory Standards ,
Reporting Requirements
The consultation draft of the federal Capital Markets Stability Act (CMSA) issued in September 2014 proposes a novel regulatory regime directed at protecting the stability and integrity of Canada’s financial system through...more