Aggregated News From Investment Management Regulators

Canada

PlexCoin matter: The Québec Superior Court asks creditors to file a proof of claim in order to participate in a possible distribution

The Québec Superior Court asks any person holding a claim in the matter of Dominic Lacroix to file a proof of claim with Raymond Chabot Administrateur Provisoire Inc., appointed Receiver of Dominic Lacroix, no later than on August 4, 2021. On May 7, 2021, the Honourable Daniel Dumais, Judge of the Québec Superior Court, issued a Claims Procedure Order. Under this order, any person with a claim in the matter of Dominic Lacroix must file a proof of claim with the Receiver by completing and filing the online claim form at the address www.raymondchabot.com/en/companies/public-records/dominic-lacroix/ no later than on August 4,...

CSA and IIROC issue reminder of the implementation date for mandatory transparency requirements related to debt securities

The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) remind banks of mandatory transparency requirements that take effect on May 31, 2021, requiring them to report information about corporate and government debt transactions to IIROC. On June 4, 2020, the CSA adopted amendments to National Instrument 21-101 Marketplace Operation that introduce post-trade transparency requirements for government debt securities and expanded transparency requirements for corporate debt securities. The changes require that a person or company that executes transactions in corporate or government debt securities provide information on their trades to IIROC, the information processor, for public...

Withdrawal of proposed amendments respecting disclosure of information by ombudsman service to IIROC

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

CSA and IIROC issue reminder of the implementation date for mandatory transparency requirements related to debt securities

TORONTO – The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) remind banks of mandatory transparency requirements that take effect

OSC Bulletin, Volume 44, Issue 19

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Notice of Coming into Force of Amendments to Ontario Securities Commission Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions (Rule 48-501)

Amendments to Rule 48-501 (Amendments) will come into force on May 18, 2021, pursuant to section 143.4 of the Securities Act (Ontario).

Amendments to Ontario Securities Commission Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions

1. Ontario Securities Commission Rule 48-501 is amended by this Instrument. 2. Section 1.

CSA and IIROC issue reminder of the implementation date for mandatory transparency requirements related to debt securities

See the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Notice of Adjournment: SIGMAR MORTGAGE SERVICES LTD. and THOMAS HAROLD STANDING

The Manitoba Securities Commission has adjourned the hearing date set for May 11, 2021 to June 7, 2021, commencing at 1:30 p.m. A copy of the Notice of Adjournment is available at here. Chris Besko Secretary to the Commission This news item was originally published by the Manitoba Securities Commission (MSC CA). For more information, please see the Source Link.

Ontario Securities Commission Staff Notice 81-731 Next Steps on Deferred Sales Charges

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Regulator Information

Abbreviation: BCSC
Jurisdiction: Canada
Abbreviation: CSA
Jurisdiction: Canada
Abbreviation: FCNB
Jurisdiction: Canada
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Abbreviation: MSC
Jurisdiction: Canada
Abbreviation: OSC
Jurisdiction: Canada

Recent Articles

ESAs’ report on the implementation and functioning of securitisation regulation

The Joint Committee of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority)

Burma-related Designations; Counter Terrorism Designations

SPECIALLY DESIGNATED NATIONALS LIST UPDATE The following individuals have been added to OFAC's SDN List:  AL-FAY, Ibrahim Ali 'Awad (a.k.a. "Abu Ali al-Samarra'i"), Sakarya, Turkey; DOB...

READOUT: Deputy Secretary of the Treasury Wally Adeyemo’s Meeting with House Ways and Means Committee’s Racial Equity Initiative

Deputy Secretary of the Treasury Wally Adeyemo met with House Ways and Means Committee’s Racial Equity Initiative, led by Rep. Terri Sewell (D-AL), Rep....

CLOB Professional Advance Group Plc (Clone of FCA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

C447 – ESMA Guidelines (ESMA35-36-1952) on certain aspects of the MiFID II compliance function requirements

See the Circular published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

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