OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
IIROC and FINTRAC Enhance Cooperation to Protect Against…
Agreement also reduces regulatory burden on Canadian investment firms. May 30, 2019 (Toronto, Ontario) - The Investment Industry Regulatory Organization of Canada (IIROC) and the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) today…
IIROC-Regulated Investment Firms Increase Cybersecurity Preparedness
Survey results show improvement in training, incidence response plans and third-party risk assessment. April 2, 2019 (Toronto, ON) – Canadian investment firms have taken concrete steps to put in place appropriate cybersecurity measures to manage…
IIROC Clarifies Use of E-Signatures For IIROC-Regulated Investment…
The Investment Industry Regulatory Organization of Canada (IIROC) today published updated guidance to clarify and remind investment firms that they can offer their clients the convenience of electronic signatures (“e-signatures”) for contracts and consent forms.…
Broadridge Launches MiFID II Article 50 Reporting Solution
Article 50 of the MiFID Delegated Regulation requires investment firms to provide annual ex-post information about all costs and charges related to both the financial instruments and investment services provided to their clients. The information…
Credit Risk: The Definition of Default (BOE)
Overview In this Consultation Paper (CP), the Prudential Regulation Authority (PRA) sets out its proposed approach to implementing the European Banking Authority’s (EBA’s) recent regulatory products relating to the definition of default in the Capital…
SIX Swiss Exchange in temporary EU market access
The Swiss-EU bilateral relationship has seen better days. In the wake of EU regulatory reforms, SIX Swiss Exchange will now be getting a temporary market access to the European bloc, which allows European securities traders…