The Securities and Exchange Commission (SEC) voted 3-2 on October 28, 2020 to adopt Rule 18f-4 under the Investment Company Act of 1940, as amended (1940 Act), and related amendments (Rule 18f-4 or ...
After a 10-year long consultation process, the Canadian Securities Administrators (CSA) have published Multilateral Instrument 93-101 – Derivatives: Business Conduct (Rule), a core regulation ...
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