Regulatory Alerts2019-04-18
Draft Regulation to amend Regulation 21-101 respecting Marketplace Operation
The securities regulator amends Regulation 21-101 to streamline reporting requirements and enhance operational standards for marketplaces and information processors. The changes extend filing deadlines for certain forms, mandate annual vulnerability assessments and independent systems reviews, and impose stricter notification and record-keeping obligations for material system failures and security incidents. Additionally, the amendment updates ownership disclosure exhibits and clarifies definitions to ensure consistent application across recognized exchanges, quotation and trade reporting systems, and alternative trading systems.
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