Regulatory Alerts2019-04-18
Draft Amendments to Policy Statement to Regulation 21-101 Respecting Marketplace Operation
Canadian securities regulatory authorities issued draft amendments to Policy Statement 21-101 to streamline reporting requirements for marketplaces. The changes extend the filing deadline for certain documents from 7 to 15 business days and clarify financial statement disclosure standards for Alternative Trading Systems and recognized exchanges. Additionally, the amendments provide detailed guidance on internal IT controls, material incident notification, and the scope of annual independent systems reviews.
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