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Searching Content indexed under Investment Strategy by Stikeman Elliott LLP ordered by Published Date Descending.
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1
IIROC And The Life Insurance Council Of Saskatchewan Agree To Share Information
Joint investigations will also be enabled when both organizations are investigating the same individual.
Canada
13 Jun 2017
2
U.S. Adopts JOBS Act, Containing Crowdfunding Provisions And Benefits For FPIs
On April 5, U.S. President Obama signed the Jumpstart Our Business Startups (JOBS) Act, a law intended to help small businesses and startups raise capital.
Canada
31 May 2012
3
IIROC To Consolidate Enforcement Rules
On March 23, the Investment Industry Regulatory Organization of Canada (IIROC) released a set of proposed rules intended to consolidate and rationalize enforcement-related rules currently contained in the Dealer Member Rules and UMIR.
Canada
3 Apr 2012
4
IIROC Proposes Allowing Dealers To Guarantee Trade At Price That Outperforms Benchmark Price
On July 4, the Investment Industry Regulatory Organization of Canada published proposed guidance on the guarantee by a Participant (dealer) of a trade price for a client order.
Canada
8 Aug 2011
5
IIROC To Post Webcast On Fiduciary Standards
Later this afternoon, the Investment Industry Regulatory Organization of Canada (IIROC) will be posting on its website a recorded webcast considering the Canadian and U.S. perspectives on fiduciary standards and the differences between such a standard and the suitability standard.
Canada
26 May 2011
6
IIROC Releases Draft Guidance On Outside Business Activities
Yesterday, the Investment Industry Regulatory Organization of Canada issued updated guidance on outside business activities.
Canada
17 May 2011
7
OSC Expresses Concern Regarding Improper Reliance On The Accredited Investor Exemption
The OSC today released a staff notice expressing concern that issuers and dealers are relying on the accredited investor exemption to sell exempt securities to individual investors who do not meet the applicable requirements of the exemption.
Canada
17 May 2011
8
IIROC Announces Changes To Comset Reporting Requirements
On May 2, the Investment Industry Regulatory Organization of Canada (IIROC) announced that it was making changes to Complaints and Settlement Reporting (ComSet) reporting requirements.
Canada
12 May 2011
9
2011 Investment Canada Act Review Threshold Confirmed
The Investment Canada Act threshold for the review of direct acquisitions of control of Canadian businesses (other than those involved in cultural activities) by investors controlled in countries that are members of the WTO (or where control is acquired from sellers controlled in WTO-member countries) has now been officially raised to C$312 million for transactions closing in 2011.
Canada
31 Mar 2011
10
OSC Signs MOU With MFDA To Facilitate Compliance And Enforcement
A memorandum of understanding between the OSC, certain other provincial securities regulators and Investment Industry Regulatory Organization of Canada (IIROC) entered into with the Mutual Fund Dealers Association of Canada (MFDA) is set to come into effect on March 23, 2011.
Canada
9 Mar 2011
11
OSC Approves Amendments to MFDA Minimum Capital Requirements
The Ontario Securities Commission (OSC) announced today that it has approved amendments to MFDA Rule 3.1.1, intended to harmonize the MFDA's minimum capital requirements with those under National Instrument 31-103 Registration Requirements and Exemptions, as well as amendments to Form 1 - Financial Questionnaire and Report.
Canada
25 Jan 2011
12
SEC Seeks To Strengthen Investment Adviser Oversight
On November 19, the SEC announced new rules to give effect to provisions of Dodd-Frank that amend the Investment Advisers Act of 1940.
Canada
10 Jan 2011
13
IIROC Republishes Proposals To Implement CRM
The Investment Industry Regulatory Organization of Canada today republished a proposal to implement core aspects of its Client Relationship Model Project. IIROC's proposal would address issues relating to relationship disclosure, conflicts of interest management and disclosure, suitability assessment and account performance reporting.
Canada
10 Jan 2011
14
IIROC Publishes Circuit Breaker Levels For Q1 2011
The Investment Industry Regulatory Organization of Canada (IIROC) today published Notice 11-0001 relating to securities trading halts in coordination with the application of 'circuit breakers' on U.S. markets.
Canada
10 Jan 2011
15
IIROC Clarifies Calculation Methodology For Conversions And Reconversions
On December 3, the Investment Industry Regulatory Organization of Canada published amendments to its Dealer Member Rules that "make it explicit which option values are to be used in calculating minimum capital and margin requirements for all of the Conversion and Reconversion offset strategies."
Canada
13 Dec 2010
16
Investment Canada says "no" to BHP Billiton takeover of PotashCorp
On November 3, 2010, Canada's Minister of Industry announced his conclusion that the proposed acquisition by BHP Billiton plc of Potash Corporation of Saskatchewan Inc. was not likely to be of "net benefit to Canada".
Canada
7 Dec 2010
17
IIROC Requests Comments On Proposed Guidance Regarding Best Execution Obligations
On November 30, the Investment Industry Regulatory Organization of Canada proposed draft guidance regarding the management of order flows with respect to best execution obligations under UMIR.
Canada
6 Dec 2010
18
CSA Extend Registration Exemption For Mortgage Investment Entities
Earlier today, the CSA announced the extension of the registration exemption for mortgage investment entities from the investment fund manager registration requirement and the adviser registration requirement until March 31, 2011.
Canada
6 Dec 2010
19
IIROC Requests Comments On Proposed "Rate By Revenue" Fee Model
As we discussed in a post of April 30, IIROC proposed a new dealer regulation fee model earlier this year that would incorporate a "rate by revenue tier" approach to dealer regulation.
Canada
6 Dec 2010
20
IIROC Proposes Uniform 6-Year Limitation Period For Enforcement Proceedings
On November 26, the Investment Industry Regulatory Organization of Canada proposed amendments to its Dealer Member Rules that would provide a uniform six-year limitation period to all IIROC enforcement proceedings.
Canada
6 Dec 2010
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