- 06:30 PM
Francesca Guolo at Joint Staff Notice 23-329 on Short Selling in Canada
Details
On the 8th of December 2022, The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) published a Joint Staff Notice 23-329 on Short Selling in Canada to provide an overview of the existing regulatory landscape surrounding short selling, give an update on current related initiatives and a request for public feedback on areas for regulatory consideration.
This seminar from the CCLS Education Sub-Committee will bring the below panel together to discuss the notice.
Speakers:
- Francesca Guolo – Partner, Goodmans LLP
- Kevin McCoy - Acting Senior Vice-President, Market Regulation Operations, New SRO
- Alex Perel - CFA, Managing Director, Head of ETF Services, Scotiabank Global Banking and Markets
- Tracey Stern - Chief Legal Officer, General Counsel and Corporate Secretary, CSE
Moderator:
- Shailesh Ambike – Director, Advisory, Global Capital Markets, Scotiabank Global Banking and Markets
To learn more about this event, click here.
Expertise
People
Insights
-
Banking and Financial Services
OSFI Announces New Guidelines to Manage Third Party Risks
The Office of the Superintendent of Financial Institutions (OSFI) has released its Guideline B-10 – Third-Party Risk Management (“Guideline”) for all federally regulated financial institutions… -
Financial Services Regulatory
Budget 2023 Announces Measures to Combat Financial Crime
In Budget 2023, which was tabled in the House of Commons on March 28, the Government of Canada announced its intentions to bolster measures to deter, detect, and prosecute financial crimes, protect… -
Financial Services Regulatory
FINTRAC Advisory Concerning Financial Transactions Related to High-Risk Countries Identified by FATF
On March 20, 2023, the Financial Transactions and Reports Analysis Centre (FINTRAC) issued an advisory (the “Advisory”) concerning financial transactions related to countries identified by the… -
Technology
U.S. District Court Finds NBA Top Shot Moments may be Subject to U.S. Securities Laws
On May 12, 2021, a class action law suit was filed against Dapper Labs, Inc. in the U.S. District Court for the Southern District of New York (the “Court”) alleging that Dapper Labs violated U.S… -
Technology
Canadian Securities Administrators Announce Enhanced Pre-Registration Undertaking Requirements for Crypto Trading Platforms
Further to its December 12, 2022 announcement, the Canadian Securities Administrators (CSA) published Staff Notice 21-332 – Crypto Asset Trading Platforms: Pre-Registration Undertakings (“SN… -
Financial Services Regulatory
Non-Financial Institution Mortgage Lenders May Soon Become Subject to Anti-Money Laundering/Anti-Terrorist Financing Regime
Proposed amendments to certain regulations under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) purport to subject non-financial institution mortgage lenders to the…
Featured Work
-
Mergers and Acquisitions
Amp Energy’s Innovative $350 Million Cross-Jurisdictional Credit Facility
Goodmans LLP acted for Amp Solar Group in connection with Amp Energy’s innovative $350 million cross-jurisdictional credit facility with a consortium of leading institutional investors including…
News & Events
-
- 06:30 PM Financial Services Regulatory
Francesca Guolo at Joint Staff Notice 23-329 on Short Selling in Canada
On the 8th of December 2022, The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) published a Joint Staff Notice 23-329 on Short Selling…