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CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS

The Canadian Securities Administrators (CSA) released two new reports: the Oversight Review Report of the Canadian Investment Regulatory Organization (CIRO) (Oversight Report) and the 2023 Annual Act...

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TMX
CLIENT AND ORDER IDENTIFIERS PUBLICATION OF GUIDELINES
March 29, 2024

The Regulatory Division (the “Division”) of Bourse de Montréal Inc. (the “Bourse”) has developed guidelines to complement the rul...

CDCC
RBC DOMINION SECURITIES INC. ACQUISITION OF HSBC SECURITIES (CANADA) INC.
March 29, 2024

Following the approval of the sale by the Government of Canada’s Minister of Finance in December 2023, whereby HSBC Overseas Hold...

FCA
STUART BAYES FOUND GUILTY OF INSIDER DEALING
March 29, 2024

Mr Stuart Bayes was found guilty of 2 offences of insider dealing, following an 8-week trial at Southwark Crown Court in a prosec...

Investment Executive
SHINING MORE LIGHT INTO TREASURY MARKETS
March 29, 2024

One of the world’s most important financial markets, the U.S. Treasury market, is getting a transparency boost, with the U.S. Fin...

Investment Executive
DESJARDINS SANCTIONED IN MX SETTLEMENT
March 29, 2024

Desjardins Securities Inc. (DSI) and one of its traders have been sanctioned over alleged deceptive trading in fixed-income futur...