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Searching Content indexed under Debt Capital Markets by Cristian Blidariu ordered by Published Date Descending.
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1
Investment Fund Amendments Would Bring Sweeping Changes To Closed-End Fund Regime
Recently, the Canadian Securities Administrators released proposed amendments to National Instrument 81-102 – Mutual Funds.
Canada
30 Apr 2013
2
IIROC Guidance Distinguishes Compliance From Supervision
In the wake of a disciplinary panel's reasons given in 2012 in Re Northern Securities, the Investment Industry Regulatory Organization of Canada has issued fresh guidance on the compliance and supervision responsibilities of IIROC-regulated personnel.
Canada
1 Mar 2013
3
The CSA And The IIROC Unveil Rules For Dark Marketplaces
Canada has marketplaces, both "lit" and "dark", where equity securities are traded.
Canada
4 May 2012
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