L’Autorité des marchés financiers publie le projet, déposé par la Bourse, de modifications aux articles 3.400 et 3.405 des règles. Les modifications proposées visent à prévoir une période de validité de la formation que la Bourse exige pour les Personnes Approuvées.

(Les textes ont été publiés dans la section 7.3.1 du Bulletin de l’Autorité des marchés financiers du 2020-06-04, Vol. 17, n° 22)

Commentaires

Les personnes intéressées à soumettre des commentaires peuvent en transmettre une copie, au plus tard le 29 juin 2020, à :

Me Philippe Lebel
Secrétaire général et directeur général des affaires juridiques
Autorité des marchés financiers
Place de la Cité, tour Cominar 2640, boulevard Laurier, bureau 400
Québec (Québec) G1V 5C1
Télécopieur : (514) 864-8381
Courrier électronique : [email protected]

Information complémentaire

Pour de plus amples renseignements, on peut s’adresser à :

Catherine Lefebvre
Analyste experte aux OAR
Direction de l’encadrement des bourses et des OAR
Autorité des marchés financiers
Téléphone : 514 395-0337, poste 4348
Numéro sans frais : 1 877 525-0337, poste 4348
Télécopieur : 514 873-7455
Courrier électronique : [email protected]

Lucie Prince
Analyste aux OAR
Direction de l’encadrement des bourses et des OAR
Autorité des marchés financiers
Téléphone : 514 395-0337, poste 2614
Numéro sans frais : 1 877 525-0337, poste 2614
Télécopieur : 514 873-7455
Courrier électronique : [email protected]

L’Autorité des marchés financiers publie le projet, déposé par la Bourse, de modifications de l’article 6.201. Les modifications proposées visent à adapter le modèle de négociation électronique facilitant l’attribution des opérations à cours moyen.

(Les textes sont reproduits ci-après.)

Commentaires

Les personnes intéressées à soumettre des commentaires peuvent en transmettre une copie, au plus tard le 20 juin 2020, à :

Me Philippe Lebel
Secrétaire général et directeur général des affaires juridiques
Autorité des marchés financiers
Place de la Cité, tour Cominar
2640, boulevard Laurier, bureau 400
Québec (Québec) G1V 5C1
Télécopieur : (514) 864-8381
Courrier électronique : [email protected]

Information complémentaire

Pour de plus amples renseignements, on peut s’adresser à :

Pascal Bancheri
Analyste expert aux OAR
Direction de l’encadrement des bourses et des OAR
Autorité des marchés financiers
Téléphone : 514 395-0337, poste 4354
Numéro sans frais : 1 877 525-0337, poste 4354
Télécopieur : 514 873-7455
Courrier électronique : [email protected]

Roland Geiling
Analyste en produits dérivés
Direction de l’encadrement des bourses et des OAR
Autorité des marchés financiers
Téléphone : 514 395-0337, poste 4323
Numéro sans frais : 1 877 525-0337, poste 4323
Télécopieur : 514 873-7455
Courrier électronique : [email protected]

See French version

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on April 16, 2019Streamlining reporting requirements
• CSA Notice and Request for Comment (pdf - 78 KB)This link will open in a new windowUpdated on April 16, 2019Streamlining reporting requirements
• Regulation to amend Regulation 21-101 (pdf - 41 KB)This link will open in a new windowUpdated on April 16, 2019Streamlining reporting requirements
• Amendments to Policy Statement to Regulation 21-101 (pdf - 31 KB)This link will open in a new windowUpdated on April 16, 2019Streamlining reporting requirements

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on March 14, 2019Benchmarks
• Notice of Consultation (pdf - 173 KB)This link will open in a new windowUpdated on March 14, 2019Benchmarks
• Regulation 25-102 (pdf - 264 KB)This link will open in a new windowUpdated on March 14, 2019Benchmarks
• Policy Statement to Regulation 25-102 (pdf - 119 KB)This link will open in a new windowUpdated on March 14, 2019Benchmarks

Comments received (comments are published in their original language)

Canadian Bankers Association (pdf - 196 KB)This link will open in a new windowUpdated on July 9, 2019

Eversheds Sutherland (US) LLP (pdf - 74 KB)This link will open in a new windowUpdated on July 9, 2019 Alexander S. Holtan and Blair Paige Scott

Index Inductry Association (pdf - 175 KB)This link will open in a new windowUpdated on July 9, 2019 Richard H. Redding

International Swaps and Derivatives Association (pdf - 239 KB)This link will open in a new windowUpdated on July 9, 2019 Katherine Darras

Investment Industry Association of Canada (pdf - 323 KB)This link will open in a new windowUpdated on July 9, 2019 Todd Evans

London Stock Exchange group (pdf - 424 KB)This link will open in a new windowUpdated on July 8, 2019 Jonathan Jachym

MSCI (pdf - 249 KB)This link will open in a new windowUpdated on July 9, 2019

Neo Exchange Inc. (pdf - 349 KB)This link will open in a new windowUpdated on July 8, 2019 Joacim Wiklander

RBC Global Asset Management Inc. (pdf - 820 KB)This link will open in a new windowUpdated on July 8, 2019 Daniel E. Chornous

Refinitiv (pdf - 201 KB)This link will open in a new windowUpdated on July 9, 2019

S&P Dow Jones Indice LLC (pdf - 431 KB)This link will open in a new windowUpdated on June 11, 2019 - Joe DePaolo

The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 260 KB)This link will open in a new windowUpdated on June 15, 2021Consultation indices de référence

TMX (pdf - 106 KB)This link will open in a new windowUpdated on July 9, 2019 Deanna Dobrowsky

Regulatory Notice (pdf - 97 KB)This link will open in a new windowUpdated on May 3, 2019 (available in French only)

Comments received (comments are published in their original language)

• TMX - Sabia Chicoine (pdf - 80 KB)This link will open in a new windowUpdated on June 10, 2019

CSA Staff Notice and Request for Comment 23-323: Trading Fee Rebate Pilot Study (pdf - 381 KB)This link will open in a new windowUpdated on December 17, 2018

• CSA Staff Notice 11-340: Extension of Comment Period (pdf - 42 KB)This link will open in a new windowUpdated on January 17, 2019Extension of Comment Period

Comments received (comments are published in their original language)

AGF Investments Inc. (pdf - 60 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - John Christofilos

Blackrock Asset Management Canada (pdf - 186 KB)This link will open in a new windowUpdated on November 6, 2019 - Margaret Gunawan

Canadian Advocacy Council for Canadian (pdf - 246 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study

Canadian Securatization (pdf - 594 KB)This link will open in a new windowUpdated on November 6, 2019 - Ian Bandeen

Canadian Securities Exchange (pdf - 2 MB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Richard Carleton

Canadian Security Traders Association, Inc. (pdf - 262 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - CSTA Trading Issues Committee

CIBC World Markets Inc. (pdf - 48 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Heather Killian

Citadel Securities (pdf - 278 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Mark Wilkinson et David Archer

Fidelity Asset Management (pdf - 394 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Fidae Abbas

Healthy Markets Transparency & Trus (pdf - 142 KB)This link will open in a new windowUpdated on November 5, 2019Comments on 23-323 Trading Fee Rebate Pilot Studyt - Tyler Gellasch

Invesco Canada Ltd (pdf - 448 KB)This link will open in a new windowUpdated on November 5, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Julianna Ahn

Investment industry association of Canada (pdf - 299 KB)This link will open in a new windowUpdated on November 5, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Susan Copland

Mackie Research Capital Corporation (pdf - 140 KB)This link will open in a new windowUpdated on November 1^st, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - David Hetherington

Nasdaq Canada (pdf - 369 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study

National Bank (pdf - 536 KB)This link will open in a new windowUpdated on November 5, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Etienne Dubuc et Martin Gagnon

Neo Exchange Inc. (pdf - 276 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Cindy Petlock et Joacim Wiklander

Omega Securities Inc. (pdf - 173 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Laurence Rose et Sean Debotte

OMERS (pdf - 4 MB)This link will open in a new windowUpdated on November 7, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Brant Robertson et Robert Gouley

Ontario Teachers Pension Plan (pdf - 283 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Kevin Duggan et all

Scotia Bank (pdf - 110 KB)This link will open in a new windowUpdated on November 4, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Alex Perel

Select Vantage (pdf - 1 MB)This link will open in a new windowUpdated on November 5, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Daniel Schlaepfer et Mario Josipovic

TD Asset Management Inc. (pdf - 2 MB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Bruce Cooper

TMX Group (pdf - 50 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Deanna Dobrowsky

TMX Group Limited (pdf - 918 KB)This link will open in a new windowUpdated on November 6, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Kevin Sampson

Virtu ITG Canada Corp. (pdf - 79 KB)This link will open in a new windowUpdated on November 7, 2019Comments on 23-323 Trading Fee Rebate Pilot Study - Doug Clark

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on October 18, 2018
• CSA Notice of Consultation (pdf - 84 KB)This link will open in a new windowUpdated on October 18, 2018
• Regulation to amend Regulation 24-102 (pdf - 44 KB)This link will open in a new windowUpdated on October 18, 2018
• Amendments to Policy Statement to Regulation 24-102 (pdf - 146 KB)This link will open in a new windowUpdated on October 18, 2018

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on May 23, 2018Regulatory Notice
• CSA Staff Notice and Request for Comment 21-323 (pdf - 190 KB)This link will open in a new windowUpdated on May 23, 2018"CSA Staff Notice, Request for Comment, 21-323, Proposal, Mandatory Post-Trade Transparency, Trades in Government Debt Securities, Expanded Transparency, Trades,Corporate Debt Securities, Draft, Regulation to amend, Regulation, 21-101, Marketplace Operation, Draft, Amendments, Policy Statement, Regulation 21-101, Marketplace Operation"
• Regulation to amend Regulation 21-101 (pdf - 27 KB)This link will open in a new windowUpdated on May 23, 2018"draft, regulation, amend, 21-101, marketplace operation"
• Amendements to Policy Statement to Regulation 21-101 (pdf - 42 KB)This link will open in a new windowUpdated on May 23, 2018"draft, amendments, policy statement, regulation, 21-101, marketplace operation"

• Regulatory Notice (pdf - 23 KB)This link will open in a new windowUpdated on July 6, 2017
• Notice and Request for Comment (pdf - 145 KB)This link will open in a new windowUpdated on June 29, 2017"CSA Notice, Request for Comment, Designated, Rating Organizations"
• Regulation to amend Regulation 25-101 (pdf - 94 KB)This link will open in a new windowUpdated on June 29, 2017"Regulation, 25-101, designated, rating organizations"
• Regulation to amend Regulation 44-101 (pdf - 23 KB)This link will open in a new windowUpdated on June 29, 2017"Regulation, amend, 44-101, Short Form, Prospectus Distributions"
• Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 20 KB)This link will open in a new windowUpdated on June 29, 2017"Règlement, modifiant, 31-103, obligations, dispenses d’inscription, obligations continues, personnes inscrites"
• Regulation to amend Regulation 33-109 respecting Registration Information (pdf - 19 KB)This link will open in a new windowUpdated on June 29, 2017"Regulation, amend, 33-109, Registration Information"
• Regulation to amend Regulation 41-101 respecting General Prospectus Requirements (pdf - 17 KB)This link will open in a new windowUpdated on June 29, 2017"regulation,amend,41-101, General Prospectus Requirements"
• Regulation to amend Regulation 44-102 respecting Shelf Distributions (pdf - 14 KB)This link will open in a new windowUpdated on June 29, 2017"Regulation, amend, 44-102, Shelf Distributions"
• Regulation to amend Regulation 45-106 respecting Prospectus Exemptions (pdf - 22 KB)This link will open in a new windowUpdated on June 29, 2017"Regulation, amend, 45-106, Prospectus Exemptions"
• Regulation to amend Regulation 51-102 respecting Continuous Disclosure Obligations (pdf - 13 KB)This link will open in a new windowUpdated on June 29, 2017"Regulation, amend, 51-102, Continuous Disclosure, Obligations"
• Regulation to amend Regulation 81-102 respecting Investment Funds (pdf - 19 KB)This link will open in a new windowUpdated on June 29, 2017"regulation,amend,81-102,investment funds"
• Amendments to Policy Statement to Regulation 81-102 respecting Investment Funds (pdf - 13 KB)This link will open in a new windowUpdated on June 29, 2017"Amendments, Policy Statement, regulation, 81-102, Investment Funds"
• Regulation to amend Regulation 81-106 respecting Investment Fund Continuous Disclosure (pdf - 14 KB)This link will open in a new windowUpdated on June 29, 2017"Regulation, amend, 81-106, Investment Fund, Continuous Disclosure"
• Amendments to Policy Statement to Regulation 21-101 respecting Marketplace Operation (pdf - 17 KB)This link will open in a new windowUpdated on June 29, 2017"Policy Statement, Regulation, 21-101, Marketplace Operation"

Comments received (comments are published in their original language)

• Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 210 KB)This link will open in a new windowUpdated on October 12, 2017
• DBRS Limited (pdf - 302 KB)This link will open in a new windowUpdated on October 13, 2017“comment,regulation 25-101,designated rating organizations,regulation 44-101,regulation 44-102,regulation 41-101,regulation 81-102,EU equivalency,code of conduct,IOSCO,Kroll, designation” (Douglas E. Turnbull)
• Moody's Canada Inc. (pdf - 189 KB)This link will open in a new windowUpdated on October 12, 2017“comment,regulation 25-101,designated rating organizations,regulation 44-101,regulation 44-102,regulation 41-101,regulation 81-102,EU equivalency,code of conduct,IOSCO,Kroll,designation” (Hilary Parkes)
• S&P Global Ratings Canada (pdf - 169 KB)This link will open in a new windowUpdated on October 12, 2017“comment,regulation 25-101,designated rating organizations,regulation 44-101,regulation 44-102,regulation 41-101,regulation 81-102,EU equivalency,code of conduct,IOSCO,Kroll,designation” (Frank Staudohar)