Aggregated News From Investment Management Regulators

New Webcast: Failed Trade Study


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This webcast highlights a study of failed trades to examine settlement failure of trades executed on Canadian equity marketplaces.

Market Regulation Services Inc. (RS) originally published a study of failed trades in 2007. This study was based on a sample of failed trades provided by a group of dealers. Since that time, we have dramatically improved our ability to conduct large-scale data analysis. We felt it was time to refresh our review to ensure our understanding is current and that our regulatory and compliance framework remains effective. Our goal was to provide high-level observations and update our understanding of this important topic. For this study, we used settlement data provided by CDS Clearing and Depository Services Inc., and internal data. In this webcast we discuss:

  • Prevalence of settlement failure
  • How long transactions take to settle
  • Relationship between settlement failure and short selling and short positions
  • Dealer outliers
  • Security outliers

Panelists include:

  • Kevin McCoy, Acting Senior Vice-President, Market Regulation Operations
  • Jamil Abou Saleh, Vice-President, Analytics

This webcast will be available on March 16, 2023.

There will be 0.25 Compliance continuing education credits available.

Register for the webcast.

View the Investment Dealer Division’s (formerly IIROC) full list of CE accredited webcasts.

View the Mutual Fund Dealer Division’s (formerly MFDA) full list of CE accredited webcasts.

Note: Participants in the Mutual Fund Dealer Division CE program can take the IIROC CE accredited webcasts and enter attendance on the MFDA CE Reporting and Tracking System (CERTS). Please refer to the Course Catalogue in CERTS to confirm eligibility.

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

Regulator Information

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