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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

Regulatory Reform of Over-the-Counter (OTC) Derivatives

Recent Developments

Proposed National Instrument 91-102 Prohibition of Binary Options and Related Proposed Companion Policy
Published: April 26, 2017
Comment period ends: May 29, 2017

Proposed National Instrument 93-101 Derivatives: Business Conduct and Related Proposed Companion Policy
Published: April 4, 2017
Comment period ends: September 1, 2017

National Instrument 94-101 Mandatory Central Counterparty Clearing Of Derivatives
Published: January 19, 2017

National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions
Published: January 19, 2017


Alberta OTC Derivatives Initiatives

Blanket Order 91-507 Over-the-Counter Trades in Derivatives​


CSA OTC Derivatives Initiatives

Click on the links below to see the history and related documents for the following initiatives:


International Initiatives

Click here to search for initiatives undertaken by the International Organization of Securities Commissions (IOSCO).


Derivatives Trade Repositories in Alberta

  • Chicago Mercantile Exchange Inc.
  • Data Repository (u.s.) LLC
  • ICE Trade Vault, LLC

See the Exchanges, Alternative Trading Systems, Clearing Agencies & Trade Repositories page for orders relating to derivatives trade repositories.


Derivatives Exchanges and Clearing Agencies in Alberta

See the Exchanges, Alternative Trading Systems, Clearing Agencies & Trade Repositories page for orders relating to derivatives exchanges and derivative clearing agencies.


G20 Commitments on the Regulation of OTC Derivatives Markets

The G20 leaders made the following commitments on the regulation of OTC derivatives markets at the Pittsburgh Summit in 2009:

“All standardized OTC derivative contracts should be traded on exchanges or electronic trading platforms, where appropriate, and cleared through central counterparties by end‐2012 at the latest. OTC derivative contracts should be reported to trade repositories. Non‐centrally cleared contracts should be subject to higher capital requirements.”

At the 2011 G20 Cannes Summit, the G20 leaders enhanced the derivatives-related reform commitments by directing the Basel Committee on Banking Supervision (BCBS) of the Bank of International Settlement and the International Organization of Securities Commissions (IOSCO) to develop standards for the exchange of margin and collateral for non-centrally cleared derivatives.

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