On April 4, 2017, the Canadian Securities Administrators (CSA) published for comment Proposed National Instrument 93-101 – Derivatives: Business Conduct (Business Conduct Rule), which would impose a range of business conduct...more
This Bulletin highlights the impact of proposed amendments to the Quebec Derivatives Regulation (QDR) on dealers and advisers that are not registered in Quebec to trade standardized derivatives, on persons who intend to rely...more
Draft derivatives regulations and a revised draft of the uniform Capital Markets Act (CMA) were issued in August 2015 as part of the process to implement the new Cooperative Capital Market Regulatory System (Cooperative...more
10/28/2015
/ Broker-Dealer ,
Canada ,
Canadian Securities Administration ,
Capital Markets ,
Comment Period ,
Commodity Futures Contracts ,
Derivatives ,
Exemptions ,
Harmonization Rules ,
Policy Drafting ,
Registration Requirement ,
Regulatory Standards ,
Reporting Requirements
The Quebec Autorité des marchés financiers (Authority) is revoking a long-standing blanket decision (Blanket Decision) that exempts persons conducting dealer or adviser activities with accredited investors in respect of...more