Our in-brief roundup of notable stories from the last week.
Core Requirements:
Written Policies. Firms must maintain written procedures reasonably designed to ensure UMIR compliance.
Head of Trading. Participants must appoint a designated head to oversee all marketplace trading activities.
Employee Supervision. Management must actively supervise staff to prevent manipulative or deceptive practices.
Risk Controls. Firms must implement automated and structural risk management controls for market access and algorithmic trading.
Our in-brief roundup of notable stories from the last week.
Our in-brief roundup of notable stories from the last week.
Key personnel moves across the regulated industries that we cover.
Our in-brief roundup of notable stories from the last week.
The self-regulator made explicit three criteria for review.
Victoria Pinnington examines the OSFI and CIRO cybersecurity and resilience rules, assets, and tools.
Our in-brief roundup of notable stories from the last week.
Our in-brief roundup of notable stories from the last week.