Deborah
CA – Ontario government seeks feedback on Modernizing Capital Markets
On July 9, the Ontario government published its Capital Markets Modernization Taskforce initial consultation report seeking feedback from...
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REGFACTS/
INDUSTRY NEWS & TRENDS
Deborah
Global - IOSCO requests feedback on the use of AI and ML by asset managers & intermediaries
On June 25, the International Organization of Securities Commissions (IOSCO) published a consultation report and proposed guidance...
Deborah
Global/FATF – 12-month review of FATF revised Standards on Virtual assets & VAPS released
On July 7, the Financial Action Task Force (“FATF”) has completed its 12-month review that evaluate the implementation by countries and...
Deborah
FR/AMF – The French AMF publishes its position paper on digital finance in Europe
On July 6, the French Autorité des Marchés Financiers (‘French AMF’ or ‘AMF’) published a position paper setting out its guidelines for...
Ameis Regulatory Services
CA/OSC – OSC published its Priorities for 2020 - 2021
On June 25, the Ontario Securities Commission (OSC) published its Statement of Priorities setting out four strategic goals for the coming...
Deborah
CA/CSA - CSA requests feedback on SROs framework
On June 25, the Canadian Securities Administrators (CSA) published Consultation Paper (CP) 25-402 on its review of the regulatory...
Deborah
CA/IIROC - IIROC published education notice on cloud services & APIs
On June 24, the Investment Industry Regulatory Organization of Canada (IIROC) published an education notice on cybersecurity recommending...
Ameis Regulatory Services
UK/AML and CTF upcoming deadline
One week left until the Financial Conduct Authority's (FCA) June 30 deadline for existing businesses with cryptoasset activity in the UK...
Deborah
Payments Canada released ISO 20022 messages for Lynx
On June 15, Payments Canada published ISO 20022 messages for Lynx, Canada’s new high-value payments system that will replace the current...
Ameis Regulatory Services
Upcoming FinTech events in Canada
Explore the latest developments in FinTech: 6th Annual Fintech Canada Conference presented by the Digital Finance Institute Aug. 12,...
Deborah
CA/OSC - OSC concluded that bankrupt crypto asset platform QuadrigaCX was operating a Ponzi scheme
On June 11, the Ontario Securities Commission (OSC) published an investigative report outlining its findings on the collapse of...
Ameis Regulatory Services
UK/OBIE - Launch of App Store for greater access to suitable financial products
The Open Banking Implementation Entity (OBIE), an organization leading the development and delivery of ‘open banking’ in the UK, has...
Deborah
CA/CSA - The CSA is taking action to facilitate the use of CRM Specialists by Portfolio Managers
On June 10, the Canadian Securities Administrators (CSA) announced that it will grant portfolio managers the possibility to use client...
Deborah
EU/EC – Sustainable finance initiative: the Commission published 6 drafts delegated directives
On June 8 the European Commission published for feedback six drafts delegated acts outlining the obligations for a broad range of EU...
Deborah
CA/OSC - OSC updates stakeholders on burden reduction progress
On May 27, 2020, the OSC released an update on its burden reduction program for market participants doing business in Ontario’s capital...
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