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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).

Event or Presentation:Proposed New Derivatives Registration & Business Conduct Rules Webinar
Location:Webinar
Documents:

Do you use, trade or advise about trading options, swaps, forwards or other over-the-counter (OTC) derivatives? Do you want additional information about how the proposed Registration & Business Conduct rules may affect you?

On June 27, 2018, Canadian securities regulators presented a webinar overview of both Proposed National Instrument 93-102 Derivatives: Registration and Proposed National Instrument 93-101 Derivatives: Business Conduct. Both proposed rules are open for public comment until September 17, 2018.

The session addressed the following:

  • The purpose of the proposed rules
  • How the proposed rules interconnect
  • Registration triggers
  • Categories of registration
  • Obligations under the proposed rules
  • Exemptions
  • Specific questions posed by the CSA

Staff from the Alberta Securities Commission, the British Columbia Securities Commission and the Financial and Consumer Services Commission (New Brunswick) presented the proposed rules and answered questions. Through the webinar you can also learn how to provide your input directly to the regulators.

To view the webcast, click here.​

To view the event slides, click here.​

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Date and Time:6/27/2018 9:30 AM