Insights/Communiqués/Securities Practice Notes/November 2014

Securities Practice Notes

November 2014

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Québec’s Autorité des marchés financiers Amends Regulation 91-507 Dealing with Trade Reporting of Derivatives Transactions

Disponible en français : L’Autorité des marchés financiers modifie le Règlement 91-507 sur les référentiels centraux et la déclaration de données sur les dérivés On October 15, 2014, at the request of the Autorité des marchés financiers (“AMF”), the Québec Minister...

CSA Publishes Significant Amendments to the Dealer and Adviser Registration Rules in National Instrument 31-103

Blair C. Lowther

In December 2013, the Canadian Securities Administrators (“CSA”) published for comment proposed changes to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) and its companion policy and related instruments. After reviewing the comments received on the...

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