Traduction de «Regulations a self-regulatory organisation » (Anglais → Français) :

Some were, however, not as complimentary about the performance of some of the self-regulatory organisations, suggesting that a number focused on turf protection rather than on encouraging competition.

(c) effective and responsive securities regulation requires timely, open and efficient administration and enforcement of this Act by the Commission; (d) the Commission should, subject to an appropriate system of supervision, use the enforcement capability and regulatory expertise of recognized self-regulatory organizations; (e) the integration of capital markets is supported and promoted by the sound and responsible harmonization and coordination of securities regulation regimes; (f) business and regulatory costs and other restrict ...[+++]ions on the business and investment activities of market participants should be proportionate to the significance of the regulatory objectives sought to be realized.

39. No bylaw, rule, regulation, policy, procedure, interpretation or practice of a recognized stock exchange, recognized self-regulatory organization, recognized quotation and trade reporting system or recognized clearing agency shall contravene Canadian securities law, but a recognized stock exchange, recognized self-regulatory organization, recognized quotation and trade reporting system or recognized clearing agency may impose a ...[+++]dditional requirements within its jurisdiction.

(j) prescribing requirements in respect of the books, records and other documents required by subsection 29(1) to be kept by market participants, including the form in which and the period for which the books, records and other documents are to be kept; (k) regulating the listing or trading of publicly traded securities including requiring reporting of trades and quotations; (l) regulating recognized stock exchanges, recognized self-regulatory organizations, recognized quotation and trade reporting systems and recognized clearing agencies, including prescribing requirements in respect of the review or approval by the Commission of any ...[+++]bylaw, rule, regulation, policy, procedure, interpretation or practice; (m) regulating trading or advising in securities to prevent trading or advising that is fraudulent, manipulative, deceptive or unfairly detrimental to investors; (n) regulating trading or advising in penny stocks, including prescribing requirements in respect of additional disclosure and suitability for investment; (o) prescribing categories or subcategories of issuers for purposes of the prospectus requirements under this Act, the regulations and the rules and classifying issuers into categories or subcategories; (p) regulating in respect of, or varying this Act to facilitate, expedite or regulate in respect of, the distribution of securities, or the issuing of receipts, including by establishing

Without prejudice to formal obligations of the Member States regarding transposition, this Directive encourages the use of co-regulation and self-regulation. This should neither oblige Member States to set up co-regulation and/or self-regulatory regimes nor disrupt or jeopardise current co-regulation or self-regulatory initiatives which are already in place within Member States and which are working effectively.

Without prejudice to formal obligations of the Member States regarding transposition, this Directive encourages the use of co-regulation and self-regulation. This should neither oblige Member States to set up co-regulation and/or self-regulatory regimes nor disrupt or jeopardise current co-regulation or self-regulatory initiatives which are already in place within Member States and which are working effectively.