Canadian financial firms are contending with a regulatory response to US risk management controls that is more restrictive than the SEC Rule 15c3-5 itself, compliance executives at some of the firms said at the Toronto Financial Information Summit, hosted by Inside Reference Data and Inside Market Data.
The Canadian Securities Administrators (CSA) Policy Statement 23-103, issued June 28 and expected to take effect in March 2013, could cause complications for trying to harmonize Canadian standard
Anthony and James look at developments pertaining to the Consolidated Audit Trail and wonder if big-tech companies could challenge traditional asset managers.Subscribe to Weekly Wrap emails
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