Mondaq Canada: Finance and Banking
Stikeman Elliott LLP
IIROC released a notice to initiate a consultation process to consider whether the existing proficiency assurance model best serves the public interest.
Stikeman Elliott LLP
The CSA updated on the proposed local rules designed to set out certain requirements in relation to the application process for seeking recognition as a clearing agency.
Gowling Lafleur Henderson LLP
Amendments to the Bank Act received royal assent, allowing the Governor in Council to make regulations regarding a bank’s activities relating to derivatives.
Borden Ladner Gervais LLP
The Reporter provides a monthly summary of Canadian federal legislative and regulatory developments of relevance to federally regulated financial institutions.
McMillan LLP
The LAR Guideline deviates very little from the draft; no significant modifications to the substantive components were introduced.
Stikeman Elliott LLP
Quebec’s Autorité des marchés financiers published for comment the Draft Regulation to amend Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting.
McMillan LLP
The OSC published Rule 91-507 Trade Repositories and Derivative Data Reporting along with the Companion Policy, which came into effect on December 31, 2013.
Cassels Brock
Terms and phrases used in mining disclosures are technical, and industry jargon can be used inconsistently.
Borden Ladner Gervais LLP
An investment advisor reached a settlement agreement with IIROC whereby he agreed to a fine of $20,000, $2,000 in costs and a rewrite of the CPH.
Borden Ladner Gervais LLP
A branch manager reached a settlement agreement with IIROC whereby he agreed to a fine of $20,000, $2,000 in costs and a 12 month suspension from acting in any supervisory capacity.
Blake, Cassels & Graydon LLP
On June 19, 2014, the Canadian Securities Administrators published the final instalment of the amendments (Amendments) to National Instrument 81-102.
Borden Ladner Gervais LLP
The Canadian Securities Administrators published final amendments to National Instrument 81-102 Mutual Funds – to be renamed Investment Funds.
Borden Ladner Gervais LLP
On June 1st, 2014, IIROC released a code of conduct for the Canadian Dollar Offered Rate ("CDOR"). A copy of the Code can be accessed here.
Borden Ladner Gervais LLP
The MFDA released reasons for decisions in relation to a settlement agreement reached in connection with incomplete and blank pre-signed forms.
Borden Ladner Gervais LLP
The Respondent admitted that he had processed trades based on requests from a spouse without power of attorney rather than the client.
Gowling Lafleur Henderson LLP
"Consumer Goods" is a collateral classification on financing statements under Ontario’s "check the box" registration system for perfecting security interests.
McMillan LLP
On May 2, 2014, the British Columbia Securities Commission (the "BCSC") issued an oral decision allowing the shareholder rights plan (the "Plan") of Augusta Resource Corporation ("Augusta"), which had been overwhelmingly approved by the shareholders of Augusta at a meeting held on such date ..
Stikeman Elliott LLP
Amendments were recently announced to delay the effective date of reporting obligations under the rule and to lessen the burden on local end-user counterparties.
Torys LLP
During the financial crisis, Canadian banks and other mortgage lenders relied heavily on securitization programs sponsored by Canada Mortgage and Housing Corporation.
Gowling Lafleur Henderson LLP
The British Columbia Court of Appeal was definitely motivated to strictly construe the terms of a loan agreement against the Lender in Greenscape.
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Torys LLP
During the financial crisis, Canadian banks and other mortgage lenders relied heavily on securitization programs sponsored by Canada Mortgage and Housing Corporation.
Borden Ladner Gervais LLP
A branch manager reached a settlement agreement with IIROC whereby he agreed to a fine of $20,000, $2,000 in costs and a 12 month suspension from acting in any supervisory capacity.
McMillan LLP
The OSC published Rule 91-507 Trade Repositories and Derivative Data Reporting along with the Companion Policy, which came into effect on December 31, 2013.
Borden Ladner Gervais LLP
The Respondent admitted that he had processed trades based on requests from a spouse without power of attorney rather than the client.
Norton Rose Fulbright Canada LLP
On Monday, November 4, 2013, Hudson’s Bay Company ("HBC") completed its previously announced acquisition of all of the outstanding shares of Saks Incorporated ("Saks") in an all-cash transaction valued at approximately US$2.9 billion.
Gowling Lafleur Henderson LLP
A recent decision of the Alberta Court of Queen’s Bench in G-Star serves as a reminder of the importance of clarity and consistency of guarantee limits.
McCarthy Tétrault LLP
Some employers sponsoring large and/or multiple registered pension plans have recently begun outsourcing most, if not all of the investment functions.
Gowling Lafleur Henderson LLP
"Consumer Goods" is a collateral classification on financing statements under Ontario’s "check the box" registration system for perfecting security interests.
McMillan LLP
On March 24, 2014, Bank of Canada Deputy Governor Timothy Lane announced that steps were being taken by industry and regulators to put in place a code of conduct with regards to the submissions made by the banks on the panel that provides the daily quotes used to determine the Canadian Dealer Offered Rate.
Aird & Berlis LLP
Section 427 of the "Bank Act" provides a comprehensive scheme for the giving of security over certain assets from certain types of borrowers.
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