In Episode 6, we speak with Kevin Sampson, President, Equity Trading, TMX Group. Our conversation touches on a range of topics from throughout 2020, including the resilience of the markets during peak volatility: the surge in activity from retail investors and how that dynamic is playing out in Canada; the potential consequences of the recent U.S. elections on Canadian financial markets and ESG.
In his role, Mr. Sampson leads the trading businesses of TMX and has also served on several committees to help foster constructive dialogue regarding market structure and policy issues in Canada.
In Episode 5, we sat down with U.S. Rep. Bill Huizenga of Michigan, Ranking Member of the Subcommittee on Investor Protection, Entrepreneurship and Capital Markets. We covered the Congress’s early response to COVID 19; the rise of social unrest and how social media influences it; the SEC’s efforts to improve and modernize capital formation and Canada.
In Episode 2, we brought together Jacob Rappaport, Managing Director and Head of Global Equities at StoneX Group (formerly INTL FCStone) and Dan Zinn, General Counsel and Corporate Secretary for OTC Markets where he leads the company’s regulatory and policy making efforts to discuss the proposed amendments to Rule 15c2-11 in the Road to Modernize the OTC Market.
In September 2019, the SEC announced proposed amendments designed to modernize Rule 15c2-11 and enhance investor protection by requiring that current and publicly available issuer information is accessible to investors. The OTC market has seen significant technological improvements since the last substantive review by the SEC in 1991.