Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
This webcast highlights a study of failed trades to examine settlement failure of trades executed on Canadian equity marketplaces.
Market Regulation Services Inc. (RS) originally published a study of failed trades in 2007. This study was based on a sample of failed trades provided by a group of dealers. Since that time, we have dramatically improved our ability to conduct large-scale data analysis. We felt it was time to refresh our review to ensure our understanding is current and that our regulatory and compliance framework remains effective. Our goal was to provide high-level observations and update our understanding of this important topic. For this study, we used settlement data provided by CDS Clearing and Depository Services Inc., and internal data. In this webcast we discuss:
In this section: