Tag: securities

Bulletin | Biking Edition | June 2024

In this bulletin: A Balancing Act: New Time-Limited Expansion of Permitted EMD Activities FSRA’s Gearing up for Change: Consultation on Total Cost Reporting for Segregated Funds In Brief: 2023 Annual Report of OSC’s Investor Advisory Panel: Staying Safe  ▪  Watching...

Ode to Market Data Access

Back in November, 2022 we wrote about CSA Consultation Paper 21-403 Access to Real-Time Market Data, which dealt with concerns about the cost of accessing market data in Canada where there are multiple marketplaces competing for the same securities to trade. The...

AUM – Compliance Reviews

Is your firm preparing for a regulatory examination? Are you ready? Do you want an independent assessment of your compliance program? Our team has extensive experience in preparation, management and remediation of regulatory examinations. You can get ahead of...

AUM – General Counsel Services

Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems. Sometimes you need help to find a practical solution to an issue, you may need support for a project team, or simply need support to cover a vacancy or busy period....