Stephen Ashbourne on Reporting Requirements

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

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

Canadian Derivatives Trade Reporting Amendments Impact Dealers and End-Users

On May 12, 2016, securities regulators in Ontario, Quebec and Manitoba announced changes to existing derivatives trade reporting requirements that will be of interest to both derivatives dealers and “end-users” of...more

5/19/2016 / Canada , Counterparties , Derivatives , End-Users , Reporting Requirements

Report Early, Report Often: CSA Adopts Final Amendments to Early Warning System

On February 25, 2016, the Canadian Securities Administrators (CSA) published final amendments to the rules governing early warning reporting in Canada (Final Amendments). The Final Amendments were released concurrently with...more

3/17/2016 / Canadian Securities Administration , Early Warning Regime , Proposed Amendments , Reporting Requirements , Takeover Bids

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

Stephen Ashbourne

Blake, Cassels & Graydon LLP

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