Tim Phillips on Derivatives

Publication par les ACVM des modifications finales aux règles de déclaration des opérations sur dérivés de gré à gré

Le 25 juillet 2024, les Autorités canadiennes en valeurs mobilières (les « ACVM ») ont publié les modifications finales (les « modifications ») aux règles de déclaration des opérations sur dérivés de gré à gré applicables...more

9/3/2024 / Canada , Canadian Securities Administration , Derivatives , Over The Counter Derivatives (OTC) , Reporting Requirements

Final Amendments to Canada’s OTC Derivatives Trade Reporting Rules Released

On July 25, 2024, the Canadian Securities Administrators (CSA) published final amendments (Amendments) to the over-the-counter (OTC) derivatives trade reporting rules applicable in each province and territory (including OSC...more

8/27/2024 / Canada , Canadian Securities Administration , Derivatives , Over The Counter Derivatives (OTC) , Reporting Requirements

Les ACVM publient un règlement sur la conduite commerciale en dérivés

Contexte - Après un processus de consultation qui aura duré 10 ans, les Autorités canadiennes en valeurs mobilières (les « ACVM ») ont publié le Règlement 93-101 sur la conduite commerciale en dérivés (le « Règlement »),...more

10/18/2023 / Canada , Canadian Securities Administration , Derivatives , Financial Institutions , Over The Counter Derivatives (OTC) , Recordkeeping Requirements , Reporting Requirements

Derivatives Business Conduct Rule Issued by the Canadian Securities Administrators

Background - After a 10-year long consultation process, the Canadian Securities Administrators (CSA) have published Multilateral Instrument 93-101 – Derivatives: Business Conduct (Rule), a core regulation governing dealing...more

10/6/2023 / Canada , Canadian Securities Administration , Derivatives , Financial Institutions , Over The Counter Derivatives (OTC) , Recordkeeping Requirements , Reporting Requirements

Dérivés de gré à gré : les ACVM donnent des indications sur la période de transition et la CVMO établit de nouveaux droits

Les organismes de réglementation des valeurs mobilières à l’échelle internationale adoptent de nouvelles normes harmonisées concernant la déclaration des données sur les dérivés, et les Autorités canadiennes en valeurs...more

12/9/2022 / Canada , Canadian Securities Administration , CFTC , Derivatives , Ontario Securities Commission (OSC)

CSA Provides Derivatives Data Reporting Transition Guidance and the OSC Establishes New Fee for OTC Derivatives Market...

As global securities regulators begin to implement new, harmonized international derivatives data reporting standards, the Canadian Securities Administrators (CSA) has provided transitional guidance to over-the-counter (OTC)...more

12/6/2022 / Canada , Canadian Securities Administration , CFTC , Derivatives , Ontario Securities Commission (OSC)

Canadian Securities Administrators Propose Amendments to OTC Derivatives Trade Reporting Rules

The Canadian Securities Administrators (CSA) have published proposed amendments (Proposed Amendments) to the Provincial Trade Reporting Rules (defined below). The Proposed Amendments are meant to streamline Canada’s...more

7/11/2022 / Canada , Canadian Securities Administration , Derivatives , Over The Counter Derivatives (OTC) , Proposed Amendments , Reporting Requirements

Canadian Regulators Issue Revised Derivatives Dealer and Adviser Business Conduct Rule Proposal

On June 14, 2018, the Canadian Securities Administrators (CSA) published for comment a revised version of Proposed National Instrument 93-101 – Derivatives: Business Conduct (Business Conduct Rule). The Business Conduct Rule...more

6/29/2018 / Canada , Canadian Securities Administration , Capital Markets , Comment Period , Derivatives , Registration Requirement , Regulatory Standards , Reporting Requirements

CSA Propose Amendments to the Mandatory Derivatives Clearing Rule

On October 12, 2017, the Canadian Securities Administrators (CSA) proposed for comment amendments (Amendments) to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (NI 94-101), in order to...more

10/20/2017 / Canada , Canadian Securities Administration , Clearing Agencies , Derivatives , Derivatives Clearing Organizations , Over The Counter Derivatives (OTC)

Mandatory Clearing of OTC Derivatives Delayed for Certain Entities

The Canadian Securities Administrators (CSA) have taken steps to postpone until August 20, 2018 the phase-in date of the mandatory clearing requirements set out in National Instrument 94-101 Mandatory Central Counterparty...more

8/17/2017 / Canada , Canadian Securities Administration , Delays , Derivatives , Ontario Securities Commission (OSC) , Over The Counter Derivatives (OTC)

Margin Requirements for Non-Centrally Cleared Derivatives Issued in Canada

The Office of the Superintendent of Financial Institutions (OSFI), Canada’s federal regulator of financial institutions, recently issued Guideline E-22 – Margin Requirements for Non-Centrally Cleared Derivatives? (Guideline)....more

3/23/2016 / Basel Committee on Banking Supervision (BCBS) , Canada , Derivatives , Dispute Resolution , FRFI , IOSCO , Margin Requirements , OSFI

Mandatory OTC Derivatives Clearing Rules Published for Second Round of Comments

On February 24, 2016, the Canadian Securities Administrators (CSA) published a revised Proposed National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (Proposed Clearing Rule) and a proposed...more

3/1/2016 / Canada , Canadian Securities Administration , Clearing Agencies , Derivatives , Derivatives Clearing Organizations , Over The Counter Derivatives (OTC)

Proposed Changes to Quebec Derivatives Regulation Will Impact Dealers, Advisers and Hedgers

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

2/8/2016 / Canada , Derivatives , Exemptions , Investment Adviser

Derivatives Trade Reporting Rules Introduced in Remaining Canadian Jurisdictions

On January 22, 2016, the Canadian securities regulatory authorities in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, the Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan...more

1/29/2016 / Canada , Canadian Securities Administration , Counterparties , Derivatives , Reporting Requirements

Tim Phillips

Blake, Cassels & Graydon LLP

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