Insights, Archived
Research, white papers and articles
Modernization of Beneficial Ownership Reporting
Overview, Whether to File a Schedule 13D or 13G, Schedule 13D Amendments, Schedule 13G Amendments, Other Amendments to Regulation 13D-G and Regulation S-T, Compliance Dates
CSA MI 93-101 Derivatives: Business Conduct
Overview, Derivatives Firms and Activities Covered, Timelines, Structure of the Instrument, Additional Requirements of Compliance and Recordkeeping, Exemptions
EU 2022/2554: Digital Operational Resilience Act
The Digital Operational Resilience Act ushers in modifications to several pre-existing regulations. It will bolster the financial sector's ability to withstand disruptions from information and communication technology (ICT) incidents. Financial institutions are mandated to ensure compliance by January 17, 2025.
SEC Rule 10c-1a: Reporting of Securities Loans
Overview, Data Elements to Report, Differences Between SEC 10c-1a and ESMA/FCA SFTR, In-Scope Reportable Securities and Reporting Persons, Reporting Agent Requirements, Timelines That Reported Information is Made Public, SEC 10c-1a Regulation Timelines
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