Stephen Ashbourne

Stephen Ashbourne

Blake, Cassels & Graydon LLP

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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

Canadian Regulators Propose Broad Derivatives Dealer and Adviser Business Conduct Rules

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

4/25/2017  /  Canada , Canadian Securities Administration , Comment Period , Derivatives , Exemptions , Registration Requirement
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