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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

Jan 21

Canadian Securities Regulators propose derivatives reporting rules

The securities regulatory authorities in Alberta, British Columbia, New Brunswick, Nova Scotia and Saskatchewan (participating jurisdictions) today published for comment Proposed Multilateral Instruments 91-101 Derivatives: Product Determination and 96-101 Trade Repositories and Derivatives Data Reporting. Together, these proposed instruments would form a derivatives reporting regime that is largely harmonized with regimes previously implemented in Manitoba, Ontario and Québec.  “Collection of this OTC derivatives data is intended to assist in the regulatory oversight of the OTC derivatives market, including the ability to identify and address systemic risk and the risk of market abuse,” said Bill Rice, Chair of the CSA and Chair and Chief Executive Officer of the Alberta Securities Commission. “These proposed multilateral instruments will harmonize with reporting requirements applicable in other Canadian jurisdictions and internationally.” These proposed instruments are informed by the OTC derivatives reporting rules implemented in Manitoba, Ontario and Québec, and by comments received on CSA Staff Consultation Paper 91-301 (published in December 2012) and CSA Staff Consultation Paper 91-302 published on June 6, 2013.  The proposed instruments are available on the participating jurisdictions’ websites. The comment period closes on March 24, 2015. The CSA, the council of the securities regulators of Canada’s provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets. - 30 - For more information: Read more

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Smart money resolutions to start the new year off right

Happy New Year! January is filled with resolutions. These are typically related to self improvement and lifestyle goals – but what about financial health and wellness? Here are some tips on how you lay the groundwork for smart financial planning in 2015.

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Glossary

High Yield Investment Program (HYIP)

An investment that promises high rates of return but is a scam. It is a type of Ponzi scheme where returns are paid with money invested by new investors.

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