October 23, 2020 is the deadline to provide feedback on the self-regulatory organization (SRO) framework consultation paper.
Learn more about what the ASC is doing to support market participants and investors.
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:
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.