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November 30, 2009 This letter intends to demonstrate that there are some anomalies that exist within the Canadian marketplace that the CSTA believes undermine the perceptions of market quality of our public markets.
View CSTA Response to Susan Greenglass
December 24, 2008 CSTA Re:Notice of Proposed Amendments to National Instrument 21-101 Market Place Operations And National Instruments 23-101 Trading Rules
View CSTA Response
June 30, 2008 CSTA letter to James Twiss, Market Regulations Services Inc. Re: Market Integrity Notice No. 2008-09 Provisions Respecting the “Best Price“ Obligation
View letter to James Twiss
May 27, 2008 CSTA letter to James Twiss, Market Regulations Services Inc. Re: Market Integrity Notice No. 2008-09 Provisions Respecting the “Best Price“ Obligation
View letter to James Twiss
April 21, 2008 CSTA letter to M. Jean St Gelais at CSA re request from Canadian regulators to “grant traders exemption from any trade-through violations”
View letter to M. Jean St Gelais
April 9, 2008 CSTA letter to James Twiss, Market Regulations Services Inc. re Provisions Respecting the Assignment of Identifiers and Symbols
View letter to James Twiss
January 16, 2008 CSTA letter to M. Jean St Gelais at CSA re “Application for Approval of an Exemption from Aspects of the Best Price Obligation”
View letter to M. Jean St Gelais
October 9, 2007 CSTA Letter to James Twiss, Market Regulations Services Inc. entitled Provisions respecting short sales and failed trades" – No 2007-17
View letter to James Twiss
December 7, 2006 CSTA Letter to James Twiss, Market Regulation Services Inc., re Provisions Respecting Competitive market Places No. 2006-19
View CSTA RS Reply Request.
December 1, 2006 CSTA comment letter to Nancy Morris, SEC re Notice of National Association of Securities dealers, Inc. Filing of Proposed Rule Change Relating to Amendments to Rule 2320(g) and Corresponding Recordkeeping Requirements Under Rule 3110(b) [Release No. 34-54650; File No. SR-NASD-2004-130]
View SEC comment letter
October 14, 2005 Verbal Commentary on Trade Through Obligations as presented to the Ontario Securities Commission.
View comment letter.
November 2004 CSTA Response to a Request for Comments from Regulation Services on Provisions Respecting "Off-Marketplace" Trades
View CSTA response letter.
November 11, 2004 FSA Policy Statement 04/23 "Bundled brokerage and soft commission arrangements: Update on issues arising from PS04/13"
The FSA had earlier this year published its findings on soft and bundled brokerage commission. The FSA had concluded that fund managers' use of commission should be limited to the purchase of 'execution' and 'research', and the FSA committed to clarifying the scope of these terms.
The FSA has today published Policy Statement 04/23 which sets out the FSA's conclusions on the scope of the terms 'execution' and 'research' and the types of goods and services that should be considered part of either. The FSA has stated that this should assist the industry to continue its progress towards a market-based solution to the transparency and accountability issues raised by soft and bundled brokerage commissions.
Policy Statement 04/23 can be found at http://www.fsa.gov.uk/pubs/policy/ps04_23.pdf and the accompanying newsletter can be found at http://www.fsa.gov.uk/pubs/policy/ps04_23_newsletter.pdf. The FSA's Press Release FSA/PN/093/2004 announcing the publication of Policy Statement 04/23 can be found at http://www.fsa.gov.uk/pubs/press/2004/093.html.
Herbert Smith |
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