Legal/Regulatory Working Group

Rationale for Committee

Need to facilitate an integrated set of rules among regulators and self-regulatory organizations (SROs) to support trade-date institutional trade matching (ITM)

Need agreement on actions in the consolidated list of suggested legal/regulatory changes

Changes will continue to be identified for new issues-based committees and in proposed and existing workstreams

Need a single and focused CCMA group for existing and to-be-identified legal and regulatory impediments to ITM

Mandate/Objectives

To identify and recommend changes to the existing legal and regulatory framework to facilitate ITM

To assist in the development of any Rule for ITM as requested

To communicate the extent and nature of changes required for ITM to provincial, federal, self-regulatory and other securities-related organizations

Members

Representatives of the SROs, mutual fund companies, banks, brokers, CDS, and Observers such as the, Ontario Securities Commission and l’Autorité des marchés financiers (AMF).

CCMA committees are composed of volunteer representatives from a range of key stakeholder groups within the securities industry.

Contact Legal/Regulatory Working Group

 info@ccma-acmc.ca (mention “CCMA LRWG” in e-mail subject line)