Securities Instruments

Securities Instruments

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CSA Staff Notice 91-305 - Frequently Asked Questions relating to MI 91-101 - Derivatives: Product Determination, and MI 96-101 - Trade Repositories and Derivatives Data Reporting

PDF • 79.09KB

CSA Staff Notice 91-305 - Frequently Asked Questions relating to MI 91-101 - Derivatives: Product Determination, and MI 96-101 - Trade Repositories and Derivatives Data Reporting

PDF • 79.09KB

CSA Multilateral Staff Notice 58-308 - Staff Review of Women on Boards and in Executive Officer Positions – Compliance with NI 58-101 - Disclosure of Corporate Governance Practices

PDF • 215.54KB

CSA Staff Notice 11-332 - Cyber Security

PDF • 69.9KB

Multilateral CSA Notice 45-321 - Frequently asked Questions about the Investment Dealer Prospectus Exemption

PDF • 64.86KB

CSA Staff Notice - Guidance as to the Scope of the International Dealer Exemption in Relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers

PDF • 72.23KB

96-503 – NWT Blanket Order – Exemption from Derivatives reporting requirements in MI 96-101 for certain derivatives reported to certain data centres (Expired 2016-08-15)

PDF • 144.76KB

NWT Recognition Order - ICE Trade Vault, LLC

PDF • 788KB

NWT Recognition Order - DTCC Data Repository (U.S.) LLC

PDF • 793.83KB

NWT Recognition Order - Chicago Mercantile Exchange Inc.

PDF • 781.15KB

96-501 - NWT Blanket Order - Relief From Certain Derivatives Reporting Requirements (Amended 2017-12-15)

PDF • 827.86KB

CSA Staff Notice 11-331 - Extension of Consultation Period, Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients

PDF • 54.37KB

CSA Staff Notice 51-346 - Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2016

PDF • 237.84KB

CSA Staff Notice 45-320 - Exemptions for Certain Foreign Issuers from the Requirement to Identify Purchasers as Registrants or Insiders in Reports of Exempt Distribution (withdrawn 2019-03-07)

PDF • 67.08KB

CSA Consultation Paper 95-401 - Margin and Collateral Requirements for Non-Centrally Cleared Derivatives

PDF • 334.8KB

45-503 - NWT Blanket Order - Exemptions from Certain Requirements in Form 45-106F1 Report of Exempt Distribution

PDF • 161.75KB

11-801-2016-07-06.en.pdf

PDF • 635.3KB

23-803 - NWT Implementing Rule - Adoption of amendments to National Instrument 23-101 - Trading Rules

PDF • 597.93KB

Amendments to NI 23-101

PDF • 298.51KB

Changes to 23-101CP

PDF • 458.79KB