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WFE Focus April 2011
Regulation

Canadian Securities Regulators update registration regime for registrants

The Canadian Securities Administrators have updated the regulatory framework for firms and individuals who deal in securities, provide investment advice or manage investment funds. The revised framework adds timely amendments to the CSA’s comprehensive 2009 registration reform initiative, which modernized the existing registration rules into a harmonized regime for the CSA and Self Regulatory Organizations.

RTS Exchange changes rules of admission to trading for non-residents

From 6 May 2011, the rules of admission to trading for non-residents on RTS Exchange changed. The new rules will assign an individual participant’s code to each client who is non-resident; this code will allow foreign clients registered with the same participant to trade with each other as well as simplify participant’s accounting procedures for such clients. The new rules represent a substantial step forward in meeting needs of foreign investors.

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