Overview, Compliance Dates, Foreign Branches In-Scope of Guideline Amendments, Regulatory Objectives of Guideline B-10, Regulatory Objectives of Guideline B-13, Third-Party Risk Management Requirements, Technology and Cyber Risk Management Requirements

Regulation Overview, Regulatory Objectives, Compliance Dates, Summary of the Four Rules Being Amended, Definition of “Eligible Secondary Market Transactions”, Requirement for the Separation of House and Customer Margin, Requirement for Access to Clearing and Monitoring of Compliance

Regulation Overview and Timeline, Summary of Proposed Rule Requirements, Investment Advisors Covered By the Proposed Rule, AML and CFT Programs, Proposed Obligation to File SARs and CTRs Instead of Form 8300, Proposed Recordkeeping Requirements, Special Information-Sharing Procedures to Deter Money Laundering and Terrorist Activity

On September 28, 2024, the CSA MI 93-101 Derivatives: Business Conduct will come into effect with a five-year transition period. The instrument sets out a comprehensive framework for regulating conduct within the OTC derivatives market, including providing provisions on fair dealing, suitability among others

Regulation Overview, Implementation Dates and Transitional Arrangements, Revisions to the Internal Ratings-Based (IRB) Approaches for Credit Risk, Revisions to the Standardised Approach for Credit Risk, Revisions to the CVA Risk Framework, Operational Risk Framework, Leverage Ratio Framework and Introduction to a New Output Floor

What is End-of-Life Software? Risks Involved with using End-of-Life Technology Past its Support Date, End-of-Life Planning: Things to Consider to Mitigate the Risks with End-of-Life Technology, Strategies to Minimize Risks When Operating End-of-Life Software, Important Processes to Follow When Migrating to a New Technology Solution

SEC Rule 192 prevents the sale of asset-backed securities (ABS) tainted by conflicts of interest. It prohibits certain transactions for a set time to discourage participants from structuring ABS unfavorably for investors.

Overview and timelines, Rule Requirements: Participants/ Products Affected and Prohibition Period, Prohibited Transactions and Exceptions.

Overview and timelines, Recent Amendments to the MiFID Framework for UK, Financial Services and Markets Act 2023, Policy Statement 23/4 on Improving Equity Secondary Markets, European Commission Proposed Amendments for EU, COM(2021)727 Proposal For Amendments to EU No 600/2014, EU Retail Investment Strategy Proposal