Securities Practice Notes

Real time quotes at the stock exchange

November 2014

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

Bruno Caron

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...

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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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