CSA Notice

Multilateral CSA Staff Notice 91-306: Compliance Review Findings for Reporting Counterparties (pdf - 128 KB)This link will open in a new windowUpdated on June 6, 2019

CSA Staff Notice 93-301: Derivatives Business Conduct Regulation - No Overlap with Derivatives Registration Regulation Comment Period (pdf - 40 KB)This link will open in a new windowUpdated on June 15, 2017Derivatives Business Conduct and Derivatives Registration

CSA Staff Notice 93-302: Frequently Asked Questions about Regulation 93-101 respecting Derivatives: Business Conduct (pdf - 428 KB)This link will open in a new windowUpdated on September 12, 2024Frequently Asked Questions about Regulation 93-101 respecting Derivatives: Business Conduct.

CSA Notice regarding Coordinated Blanket Order 93-930 Re Temporary exemptions for derivatives firms from certain obligations when transacting with certain investment funds and for senior derivatives managers from certain reporting obligations (pdf - 222 KB)This link will open in a new windowUpdated on July 25, 2024

• Décision n° 2024-PDG-0037: Décision générale coordonnée 93-930 relative aux dispenses temporaires de certaines obligations pour les sociétés de dérivés dans le cadre des transactions effectuées avec certains fonds d’investissement et de certaines obligations de faire rapport pour les dirigeants responsables des dérivés (pdf - 162 KB)This link will open in a new windowUpdated on July 25, 2024 (Available in French only)

CSA Staff Notice 94-301: Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing (pdf - 80 KB)This link will open in a new windowUpdated on July 6, 2017"CSA Staff Notice, 94-301,Blanket Orders, Exempting, Certain Counterparties, Requirement to Submit, Mandatory Clearable Derivative, Clearing"

CSA Staff Notice 94-302: Delivery of Forms Required under Regulation 94-102 respecting Derivatives: Customer Clearing and Protection of Customer Collateral and Positions (pdf - 147 KB)This link will open in a new windowUpdated on August 3, 2017"CSA, Staff Notice, 94-302, Delivery, Forms, Required, Regulation, 94-102, Derivatives, Customer Clearing, Protection, Customer Collateral, Positions"

CSA Staff Notice 94-303: Variation, Amendment, or Revocation and Replacement of Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing and Update on Draft Regulation to amend Regulation 94-101 respecting Mandatory Central Counterparty Clearing of Derivatives (pdf - 96 KB)This link will open in a new windowUpdated on May 31, 2018Madatory Central Counterparty Clearing of Derivatives

CSA Notice 94-304: Frequency of the requirement to deliver Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency (pdf - 86 KB)This link will open in a new windowUpdated on May 20, 2021Frequency of the requirement to deliver Form 94-102F3 Customer Collateral Report.

• Décision 2021-PDG-0019: Décision générale de dispense relative à la fréquence de l’obligation de transmettre le formulaire prévu à l’Annexe 94-102A3 Déclaration des sûretés de client par la chambre de compensation réglementée prévue au Règlement 94-102 sur la compensation des dérivés et la protection des sûretés et des positions des clients (pdf - 86 KB)This link will open in a new windowUpdated on May 20, 2021DÉCISION N° 2021-PDG-0019: Décision générale de dispense relative à la fréquence de l’obligation de transmettre le formulaire prévu à l’Annexe 94-102A3. (Available in French only)

CSA Staff Notice 95-301 – Margin and Collateral Requirements for Non-Centrally Cleared Derivatives (pdf - 118 KB)This link will open in a new windowUpdated on August 21, 2019

CSA Staff Notice 95-302: Margin and Collateral Requirements for Non-Centrally Cleared Derivatives (pdf - 43 KB)This link will open in a new windowUpdated on April 8, 2021Margin and Collateral Requirements for Non-Centrally Cleared Derivatives.

CSA Staff Notice 96-303: Derivatives Data Reporting Transition Guidance (pdf - 227 KB)This link will open in a new windowUpdated on November 10, 2022Derivatives Data Reporting Transition Guidance

CSA Notice regarding Coordinated Blanket Order 96-932 Re Temporary Exemptions from Certain Derivatives Data Reporting Requirements (pdf - 217 KB)This link will open in a new windowUpdated on October 31, 2024CSA Notice regarding Coordinated Blanket Order 96-932 Re Temporary Exemptions from Certain Derivatives Data Reporting Requirements .

• DÉCISION N° 2024-PDG-0051: Décision générale coordonnée 96-932 relative aux dispenses temporaires de certaines obligations de déclaration de données sur les dérivés (pdf - 156 KB)This link will open in a new windowUpdated on October 31, 2024Décision générale coordonnée 96-932 relative aux dispenses temporaires de certaines obligations de déclaration de données sur les dérivés. (Available in french only)

 

AMF Notice

• Notice relating to the redesigned complaint reporting process (pdf - 126 KB)This link will open in a new windowUpdated on December 6, 2022
  • Décision 2022-TPA-0001 : Fixation de la date de transmission du rapport concernant la politique sur le traitement des plaintes et le règlement des différends et détermination de la période qu’il doit couvrir (pdf - 37 KB)This link will open in a new windowUpdated on November 3, 2022Fixation de la date de transmission du rapport concernant la politique sur le traitement des plaintes et le règlement des différends et détermination de la période qu’il doit couvrir. (Available in french only)

• Notice relating to public offering of derivatives on cryptocurrencies and other innovative assets (pdf - 65 KB)This link will open in a new windowUpdated on May 22, 2018
• Notice relating to Legal Entity Identifier - Regulation 91-507 respecting Trade Repositories and Derivatives Date Reporting (pdf - 26 KB)This link will open in a new windowUpdated on April 5, 2018
• Regulation to amend the Derivatives Regulation (pdf - 48 KB)This link will open in a new windowUpdated on October 5, 2017
• Autorité des marchés financiers Notice: Legal Entity Identifier - Regulation 91-507 respecting Trade Repositories and Derivatives Date Reporting (pdf - 22 KB)This link will open in a new windowUpdated on February 9, 2017
• Avis relatif à la Décision générale relative à la dispense de l'obligation d'obtenir un formulaire de reconnaissance de risque prévue par le Règlement 45-106 sur les dispenses de prospectus et d'inscription et visant la révocation de la Décision générale n° 2009-PDG-0007 relative à la dispense d'application des articles 54, 56 et du premier alinéa de l'article 82 de la Loi sur les instruments dérivés (pdf - 24 KB)This link will open in a new windowUpdated on August 27, 2015  (Available in french only)
• Notice respecting the requirement to be registered as a derivatives dealer under the Derivatives Act as of September 5, 2015 for dealers carrying on activities pursuant to Décision générale no 2009-PDG-0007 relative à la dispense d'application des articles 54, 56 et du premier alinéa de l'article 82 de la Loi sur les instruments dérivés (pdf - 32 KB)This link will open in a new windowUpdated on August 6, 2015
• Lettre d'entente entre le Bureau du surintendant des institutions financières et l'Autorité des marchés financiers  (pdf - 38 KB)This link will open in a new windowUpdated on August 6, 2015 (Available in french only)  
• Blanket order regarding exemption from duty to report set out in Regulation 91-507 respecting trade repositories and derivatives data reporting (pdf - 59 KB)This link will open in a new windowUpdated on June 1^st, 2015
• Décision générale relative à la dispense de l'obligation d'obtenir un formulaire de reconnaissance de risque prévue par le Règlement 45-106 sur les dispenses de prospectus et d'inscription et visant la révocation de la Décision générale n° 2009-PDG-0007 relative à la dispense d'application des articles 54, 56 et du premier alinéa de l'article 82 de la Loi sur les instruments dérivés (pdf - 31 KB)This link will open in a new windowUpdated on April 30, 2015 (Available in french only)  
• Notice : Blanket order regarding exemption from requirement to publicly disclose data under subsection (3) of section 39 of Regulation 91-507 respecting trade repositories and derivatives data reporting (pdf - 23 KB)This link will open in a new windowUpdated on February 12, 2015
• Avis : Décision générale de dispense de l'obligation de déclarer prévue au Règlement 91-507 sur les référentiels centraux et la déclaration de données sur les dérivés (pdf - 65 KB)This link will open in a new windowUpdated on May 15, 2014  (Available in french only)  
• Extension of derivatives trade reporting implementation date under Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting (pdf - 45 KB)This link will open in a new windowUpdated on April 17, 2014
• Notice regarding application of section 11.37 of the Derivatives Regulation, R.R.Q., c. I-14.01, r. 1 and certain issues pertaining to the qualification and authorization obligation in respect of marketing a derivative (pdf - 25 KB)This link will open in a new windowUpdated on May 24, 2012
• Avis - Maintien de la décision générale relative a la dispense d'application des articles 54, 56 et du premier alinéa de l'article 82 de la Loi sur les instruments dérivés (pdf - 94 KB)This link will open in a new windowUpdated on September 24, 2010  (Available in French only)
• Décision générale visant une dispense de l'application de l'article 11.13 du Règlement sur les instruments dérivés en faveur des chefs de la conformité des gestionnaires de portefeuille inscrits conformément à l'article 54 de la Loi sur les instruments dérivés (pdf - 111 KB)This link will open in a new windowUpdated on July 30, 2010  (Available in French only)  
• Avis - Maintien de la décision générale relative a la dispense d'application des articles 54, 56 et du premier alinéa de l'article 82 de la Loi sur les instruments dérivés (pdf - 26 KB)This link will open in a new windowUpdated on March 26, 2010  (Available in French only)  
• Avis concernant la décision générale relative à la dispense d'application des articles 54, 56 et du premier alinéa de l'article 82 de la Loi sur les instruments dérivés (décision n° 2009-PDG-0007) (pdf - 24 KB)This link will open in a new windowUpdated on October 2, 2009  (Available in French only)

Notice of publication

• CSA Notice of Publication : Regulation 91-102 respecting Prohibition of Binary Options (pdf - 105 KB)This link will open in a new windowUpdated on September 28, 2017
• CSA Notice of Publication : Regulation 94-102 respecting Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Policy Statement (pdf - 176 KB)This link will open in a new windowUpdated on January 19, 2017
• CSA Notice of Publication : Regulation 94-101 respecting Mandatory Central Counterparty Clearing of Derivatives and Related Policy Statement (pdf - 124 KB)This link will open in a new windowUpdated on January 19, 2017
• Notice of publication: Regulation to amend the Derivatives Regulation (pdf - 19 KB)This link will open in a new windowUpdated on June 2, 2016
• Notice of publication : Regulation to amend Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting and Regulation to amend Regulation 91-506 respecting Derivatives Determination (pdf - 113 KB)This link will open in a new windowUpdated on May 12, 2016
• Notice of publication: Regulation to amend Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting (pdf - 33 KB)This link will open in a new windowUpdated on October 30, 2014
• Notice of publication: Regulation 91-506 respecting Derivatives Determination and Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting (pdf - 121 KB)This link will open in a new windowUpdated on November 14, 2013
• Notice of publication: Draft Regulation to amend Derivatives Regulation (pdf - 13 KB)This link will open in a new windowUpdated on April 9, 2010
• Notice: Coming into Force of Derivatives Act; Derivatives Regulation; Coming into Force of Regulation respecting Tariffs and Fees Payable; Decision and Policy Statements (pdf - 33 KB)This link will open in a new windowUpdated on January 23, 2009