Mark Powell at Bennett Jones LLP

Canadian Securities Administrators Adopt Multilateral Instrument 93-101: Derivatives—Business Conduct

The Canadian Securities Administrators (CSA) announced that the regulatory authorities of each jurisdiction in Canada, except for British Columbia, have adopted Multilateral Instrument 93-101, entitled Derivatives—Business...more

10/3/2023 / Business Conduct Standards , Canada , Canadian Securities Administration , Compliance , Derivatives , Over The Counter Derivatives (OTC) , Recordkeeping Requirements

Securities Administrators Invite Public Comment on Proposed Business Conduct Rules for Derivatives Dealers

The Canadian Securities Administrators (the CSA) have invited public comment on Proposed National Instrument 93-101 Derivatives: Business Conduct Rules (the Proposed Business Conduct Rules) which would apply to dealers in...more

2/9/2022 / Business Conduct Standards , Canada , Corporate Counsel , Derivatives , Public Comment , Securities

Alberta Enacts Measures to Protect Whistleblowers

On November 19, 2018, as part of the Alberta Securities Commission's (the "ASC") new whistleblower program, the Securities Amendment Act (the "Amendments") came into force and amended the Securities Act (Alberta) (the "Act")....more

11/28/2018 / Alberta Securities Commission , Amended Regulation , Canada , Damages , Employer Liability Issues , Immunity , Retaliation , Whistleblower Protection Policies , Whistleblowers

CSA Proposes New Canadian Derivatives Business Conduct Rules and Provides Update on Derivatives Registration Rules

On April 4, 2017, the securities regulators of each of the provinces and territories of Canada–the Canadian Securities Administrators (CSA)–published a press release and CSA Notice and Request for Comments relating to...more

4/6/2017 / Canada , Canadian Securities Administration , Comment Period , Derivatives

Alberta Securities Commission Replaces Key Blanket Order for Over-the-Counter Derivatives

On January 30th, 2017, the Alberta Securities Commission (the "ASC") announced in its weekly notice that, effective as of February 1st, 2017, it is replacing Blanket Order 91-506 entitled Over-the-Counter Trades in...more

2/3/2017 / Alberta Securities Commission , Canada , Derivatives , New Regulations

New Coordinated Rules Relating to the Clearing of Over-The-Counter Derivatives in Canada

On January 19, 2017, the securities regulators in each of the provinces and territories of Canada published a notice that they have finalized two new derivatives rules as part of their ongoing G20 commitment to regulate...more

1/25/2017 / Canada , Derivatives Clearing Organizations , Mandatory Clearing Rule

Canadian Securities Administrators Derivatives Committee Issue Consultation Paper on Margin Requirements for Non-Centrally Cleared...

On July 7, 2016, the Canadian Securities Administrators Derivatives Committee (the “Committee”) published CSA Consultation Paper 95-401 entitled “Margin and Collateral Requirements for Non-Centrally Cleared Derivatives” (the...more

7/8/2016 / Basel Committee on Banking Supervision (BCBS) , Canada , Canadian Securities Administration , Derivatives Clearing Organizations , IOSCO , OSFI

Helpful Amendments to the New Trade Reporting Rules Finalized

On June 30, 2016, the securities regulators of Alberta, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon (the "Announcing Jurisdictions")...more

7/5/2016 / Amended Regulation , Canada , Canadian Securities Administration , Commodities , Derivatives , Reporting Requirements

Harmonized Discretionary Relief for New Trading Rules

On June 17, 2016, pursuant to Multilateral CSA Staff Notice 96-301 (the "Notice"), the securities regulators of each Alberta, New Brunswick, Nova Scotia and Saskatchewan (the "Announcing Jurisdictions") announced that they...more

6/24/2016 / Affiliates , Canada , Harmonization Rules

Mark Powell

Bennett Jones LLP

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