Securities Instruments

Securities Instruments

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National Instrument

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CSA Staff Notice 94-302 - Delivery of Forms Required under NI 94-102 - Derivatives: Customer Clearing and Protection of Customer Collateral and Positions

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CSA Staff Notice 94-302 - Delivery of Forms Required under NI 94-102 - Derivatives: Customer Clearing and Protection of Customer Collateral and Positions

PDF • 48.92KB

CSA Staff Notice 24-316 - Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment

PDF • 137.16KB

11-801-2017-09-05.en.pdf

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24-803 - NWT Implementing Rule - Adoption of Amendments to National Instrument 24-101 - Institutional Trade Matching and Settlement

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NWT Recognition Order - Canadian Public Accountability Board

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CSA Staff Notice 51-351 - Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017

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Multilateral CSA Staff Notice MI 61-302 - Staff Review and Commentary on MI 61-101 - Protection of Minority Security Holders in Special Transactions

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Multilateral CSA Staff Notice MI 61-302 - Staff Review and Commentary on MI 61-101 - Protection of Minority Security Holders in Special Transactions

PDF • 92.77KB

Multilateral CSA Notice of Adoption of MI 61-101 - Protection of Minority Security Holders in Special Transactions

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94-501 - NWT Blanket Order - Exemption from the Mandatory Clearing Requirements in NI 94-101 - Mandatory Central Counterparty Clearing of Derivatives for Certain Counterparties (Expired 2018-08-20)

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CSA Staff Notice 31-349 - Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions

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CSA Staff Notice 33-320 - The Requirement for True and Complete Applications for Registration

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CSA Staff Notice 94-301 - Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing

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CSA Notice and Request for Comment - Various Proposed Amendments to: NI 25-101, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102, NI 81-106, 21-101CP, and 81-102CP

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81-501 - NWT Blanket Order - Exemption from Prescribed Form of Mutual Fund Audit Reports in National Instrument 81-102 - Investment Funds

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CSA Staff Notice 93-301 - Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period

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CSA Multilateral Staff Notice 81-328 - Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of NI 81-102 - Investment Funds

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CSA Multilateral Staff Notice 81-328 - Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of NI 81-102 - Investment Funds

PDF • 42.3KB