Insights, Archived
Research, white papers and articles
Bourse de Montréal (MX): Client and Order Identifiers
Rule Overview, Current State vs Proposed Future State, Requirement to Report Client Information on the Business Date the First Order is Transmitted, Requirement to Identify Sponsored Access and Algorithmic Orders on Order Entry & Requirement for Corrections
Canada Deposit Insurance Corporation (CDIC)
CDIC Purpose and Eligible Depositors, Eligible Products for CDIC Deposit Insurance, Coverage and Categories, CDIC Differential Premiums System (DPS) Overview, Upcoming Changes to Modernize and Improve the Effectiveness of the DPS, New Differential Premiums System (DPS) Scorecard.
OSFI Guideline B-15 on Climate Risk Management
Guideline Overview, Governance and Risk Management Expectations, Climate-Related Financial Disclosure Expectations, Regulatory Timelines, Minimum Mandatory Climate-Related Financial Disclosure Expectations
Financial Accounting Manual for Fed Reserve Banks
Appendix D of the Financial Accounting Manual for Federal Reserve Banks offers guidance on accounting for software assets. It differentiates between internal and externally sold software, provides rules for expensing and capitalizing costs, explains how to calculate amortization, addresses impairment considerations, and emphasizes the need for regular assessments.
Basel III Endgame
Regulation Overview, Proposed Scope of Rule for Large Banking Organizations, Key Changes to Capital & Disclosure Requirements, Proposed Changes to Risk-Based Capital Ratio Calculations, Regulatory Timelines and Transition Period.
SEC Marketing Rule
Rule 206(4)-1, modernizes regulations for investment adviser advertisements and payments to solicitors, recognizing the impact of electronic media and mobile communications. The rule aims to improve the information available to investors and consolidates the existing advertising and cash solicitation rules into a comprehensive one.
CRM3: Total Cost Reporting for Investment Funds
Overview and Requirements Summary, Investment Fund Manager Duties, Dealer Duties, Cost of Investing and Compensation, Fund Expense Ratio for Investment Funds.