• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on January 20, 2022Regulatory Notice for consultation of Regulation 93-101 respecting Derivatives: Business Conduct.
• CSA Notice of Third Consultation (pdf - 709 KB)This link will open in a new windowUpdated on January 20, 2022CSA Notice of Third Consultation: Draft Regulation 93-101 respecting Derivatives: Business Conduct.
• Regulation 93-101 (pdf - 210 KB)This link will open in a new windowUpdated on January 20, 2022Draft Regulation 93-101 respecting Derivatives: Business Conduct.
• Policy Satement to Regulation 93-101 (pdf - 339 KB)This link will open in a new windowUpdated on January 20, 2022Draft Policy Statement to Regulation 93-101 respecting Derivatives: Business Conduct

Comments received (comments are published in their original language)

• Pension Investment Association of Canada (pdf - 278 KB)This link will open in a new windowUpdated on March 21, 2022 (Sean Hewitt)
• The Canadian Advocacy Council of CFA Societies Canada (pdf - 224 KB)This link will open in a new windowUpdated on March 21, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés
• ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION CANADA (pdf - 1 MB)This link will open in a new windowUpdated on March 23, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés(Ian Pember, Shahen Mirakian, Michael Taylor, Claire Van Wyk-Allan)
• Association des banquiers canadiens (pdf - 142 KB)This link will open in a new windowUpdated on March 21, 2022
• Bloomberg Tradebook Canada Company (pdf - 265 KB)This link will open in a new windowUpdated on March 23, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés (Soh Bridgeford)
• Canadian Market Infrastructure Committee (pdf - 342 KB)This link will open in a new windowUpdated on March 23, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés
• Convera Canada ULC (pdf - 172 KB)This link will open in a new windowUpdated on March 23, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés
• International Swaps and Derivatives Association, Inc. (pdf - 434 KB)This link will open in a new windowUpdated on March 23, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés(Katherine Darras)
• The Canadian Commercial Energy Working Group (pdf - 344 KB)This link will open in a new windowUpdated on March 23, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés (Alexander S. Holtan)
• The Portfolio Management Association of Canada (pdf - 201 KB)This link will open in a new windowUpdated on March 21, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés(Katie Walmsley, Margaret Gunawan)

• Notice of consultation (pdf - 50 KB)This link will open in a new windowUpdated on September 9, 2021Consultation notice on draft Regulation respecting complaint processing and dispute resolution in the financial sector.
• Notice regarding extension of comment period (pdf - 55 KB)This link will open in a new windowUpdated on October 28, 2021Ligne directrice;gestion des risques;technologies;information;des communications;avis;consultation publique;mars 2019
• Regulation respecting complaint processing and dispute resolution in the financial sector (pdf - 83 KB)This link will open in a new windowUpdated on September 9, 2021Draft Regulation respecting complaint processing and dispute resolution in the financial sector.

Comments received (comments are published in their original language)

• Association canadienne des compagnies d’assurance de personnes (Lyne Duhaime) (pdf - 418 KB)This link will open in a new windowUpdated on December 20, 2021
• Association Canadienne du Commerce des Valeurs Mobilières (Annie Sinigagliese) (pdf - 269 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Investment Industry Association of Canada (Annie Sinigagliese) (pdf - 239 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Association canadienne des institutions financière en assurance (Rob Dobbins) (pdf - 1,017 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Canadian Association of Financial Institution in Insurance (Rob Dobbins) (pdf - 908 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Association des gestionnaires de portefeuille du Canada (Katie Walmsley et Margaret Gunawan) (pdf - 241 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Portfolio Management Association of Canada (Katie Walmsley and Margaret Gunawan) (pdf - 233 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Bureau d’assurance du Canada (pdf - 292 KB)This link will open in a new windowUpdated on December 15, 2021
• Canadian Advocacy Council of CFA Societies Canada (pdf - 190 KB)This link will open in a new windowUpdated on December 15, 2021
• Conseil de représentation des sociétés d’analystes financiers agréés du Canada (pdf - 266 KB)This link will open in a new windowUpdated on December 15, 2021
• Corporation des assureurs directs de dommages du Québec (Alain Camirand) (pdf - 874 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Casgrain & Compagnie Limitée (André Zanga) (pdf - 195 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Conseil des fonds d’investissement du Québec (Eric Hallé) (pdf - 106 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Equifax Canada (Julia L. Szadkowski) (pdf - 216 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Canadian Foundation for Advancement of Investor Rights – FAIR Canada (Jean-Paul Bureaud) (pdf - 190 KB)This link will open in a new windowUpdated on December 22, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Fondation canadienne pour l’avancement des droits des investisseurs – FAIR Canada (Jean-Paul Bureaud) (pdf - 230 KB)This link will open in a new windowUpdated on December 22, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Fidelity Investments Canada (Bradley Prince) (pdf - 901 KB)This link will open in a new windowUpdated on December 22, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Industrielle Alliance Gestion privée de patrimoine et Investia Services financiers (Julie Gallagher et Stéphane Blanchette) (pdf - 803 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Kaleido Croissance Inc. (Mia Malone) (pdf - 203 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Kenmar Associates (Ken Kivenko) (pdf - 339 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Mailloux & associés (Michel Mailloux) (pdf - 227 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• MICA Capital Inc. (Gino Sebastian Savard et Yvan Morin) (pdf - 814 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Mouvement Desjardins (Bernard Brun) (pdf - 5 MB)This link will open in a new windowUpdated on December 22, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Option consommateurs (pdf - 263 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Primerica Financial Services Canada Ltd (Linda Anderson) (pdf - 227 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,draft,regulation respecting complaint processing and dispute resolution in the financial sector,regulation on complaint processing,complaint definition, complaint,complaints officier,ombudsman,complaint processing and dispute resolution policy,complaint process practices,summary,prohibitions,administrative penalties,dispute resolution,fair processing of complaints,complaint process rules and practices,complaint register,complaint records"
• Regroupement des cabinets de courtage d’assurance du Québec (pdf - 362 KB)This link will open in a new windowUpdated on December 15, 2021
• Trans Union du Canada Inc. (Johanna FitzPatrick) (pdf - 207 KB)This link will open in a new windowUpdated on December 22, 2021
• Trans Union of Canada Inc. (Johanna FitzPatrick) (pdf - 611 KB)This link will open in a new windowUpdated on December 22, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Union des consommateurs (pdf - 371 KB)This link will open in a new windowUpdated on December 15, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"
• Valeurs mobilières Banque Laurentienne (Ihab Dabboussi) (pdf - 60 KB)This link will open in a new windowUpdated on December 20, 2021"consultation,projet,projet de règlement sur le règlement sur le traitement des plaintes et des différends,règlement sur le traitement des plaintes,définition de plainte,plainte,responsable du traitement des plaintes, ombudsman,politique de traitement des plaintes,pratiques concernant le traitement des plaintes,résumé,interdictions,sanctions administratives,différend,règlement des différends, traitement équitable,traitement équitable des plaintes,règles et pratiques de traitement des plaintes,registre des plaintes,dossier de plaintes"

• Regulatory Notice (pdf - 22 KB)This link will open in a new windowUpdated on September 16, 2021Regulation notice for draft Regulation tu amend Regulation 94-102.
• CSA Notice of consultation (pdf - 85 KB)This link will open in a new windowUpdated on September 16, 2021CSA Notice of Consultation concerning Draft Regulation to amend Regulation 94-102.
• Regulation to amend Regulation 94-102 (pdf - 18 KB)This link will open in a new windowUpdated on September 16, 2021Draft Regulation to amend Regulation 94-102.

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on September 3, 2020Regulatory notice relating to Regulation to amend Regulation 94-101 published for comments until December 2, 2020.
• CSA Second Notice of Consultation (pdf - 128 KB)This link will open in a new windowUpdated on September 3, 2020CSA Second Notice of Consultation : Draft Regulation to amend Regulation 94-101 published for comment until December 2, 2020.
• Regulation to amend Regulation 94-101 (pdf - 41 KB)This link will open in a new windowUpdated on September 3, 2020Draft regulation to amend regulation 94-101 for comments until December 2, 2020.
• Amendment to Policy Statement to Regulation 94-101 (pdf - 57 KB)This link will open in a new windowUpdated on September 3, 2020Draft Amendments to Policy Statement to Regulation 94-101 published for comment until December 2, 2020.

• CSA Notice of consultation (pdf - 228 KB)This link will open in a new windowUpdated on April 19, 2018Registration
• Regulation 93-102 respecting Derivatives: Registration (pdf - 237 KB)This link will open in a new windowUpdated on April 19, 2018Registration
• Policy Statement to Regulation 93-102 respecting Derivatives: Registration (pdf - 209 KB)This link will open in a new windowUpdated on April 19, 2018Registration
   

Comments received (comments are published in their original language)

• ATB Financial (pdf - 5 MB)This link will open in a new windowUpdated on November 16, 2018– Lisa McDonald
• BlackRock Asset Management Canada Limited (pdf - 425 KB)This link will open in a new windowUpdated on November 16, 2018 - Margaret Gunawan
• BP Canada Energy Group ULC (pdf - 106 KB)This link will open in a new windowUpdated on November 16, 2018 - Stephen Connelley
• Canadian Bankers Association (pdf - 147 KB)This link will open in a new windowUpdated on November 16, 2018 – CBA - Angelina Mason
• Canadian Commercial Energy Working Group (pdf - 129 KB)This link will open in a new windowUpdated on November 16, 2018- Eversheds Sutherland (US) LLP, Alexander S. Holtan
• Canadian Credit Union Association (pdf - 299 KB)This link will open in a new windowUpdated on November 16, 2018 – CCUA - Brenda M. O’Connor
• Capital Power Corporation (pdf - 408 KB)This link will open in a new windowUpdated on November 16, 2018 – Zoltan Nagy-Kovacs
• Comité de l'infrastructure du marché canadien – CMIC
• Enbridge Inc. (pdf - 3 MB)This link will open in a new windowUpdated on November 16, 2018 - Kari Olesen
• Fidelity Investments Canada ULC (pdf - 251 KB)This link will open in a new windowUpdated on November 16, 2018- W. Sian Burgess
• Franklin Templeton Investments Corp. (pdf - 162 KB)This link will open in a new windowUpdated on November 16, 2018 - FTIC - Brad Beuttenmiller
• GLC Asset Management Group (pdf - 149 KB)This link will open in a new windowUpdated on November 16, 2018 - Frank Callaghan
• Hamblin Watsa Investment Counsel Ltd. (pdf - 374 KB)This link will open in a new windowUpdated on November 16, 2018 - HWIC - Sherry Wilcox
• International Energy Credit Association (pdf - 7 MB)This link will open in a new windowUpdated on November 16, 2018 - IECA - Priscilla Bunke
• Japanese Bankers Association (pdf - 209 KB)This link will open in a new windowUpdated on November 16, 2018 - JBA - Hideharu Iwamoto
• Nicola Wealth Management (pdf - 5 MB)This link will open in a new windowUpdated on November 16, 2018 - Dannielle H. MacDonald
• Oliver Publishing Inc. (pdf - 182 KB)This link will open in a new windowUpdated on November 19, 2018 (Callum James)
• Olympia Trust Company (pdf - 4 MB)This link will open in a new windowUpdated on November 16, 2018 - Craig Skauge, Derick Kachuik
• Stikeman Elliott (pdf - 271 KB)This link will open in a new windowUpdated on November 16, 2018 - Alix d'Anglejan-Chatillon, Ken Ottenbreit, Sterling Dietze, Ramandeep Grewal, Margaret Grottenthaler, Philip Henderson
• The Alternative Investment Management Association Canada Inc. (pdf - 365 KB)This link will open in a new windowUpdated on November 16, 2018 – AIMA
• The Asset Management Group of the Securities Industry and Financial Markets Association (pdf - 360 KB)This link will open in a new windowUpdated on November 16, 2018 - SIFMA AMG- Timothy W. Cameron, Jason Silverstein, Andrew Ruggiero
• The Canadian Life and Health Insurance Association (pdf - 94 KB)This link will open in a new windowUpdated on November 16, 2018 - CLHIA - James Wood
• The Canadian Market Infrastructure Committee (pdf - 377 KB)This link will open in a new windowUpdated on November 16, 2018 – CMIC
• The Coalition for Derivatives End-Users (pdf - 326 KB)This link will open in a new windowUpdated on November 16, 2018 - Gibson, Dunn & Crutcher LLP
• The Coalition for Derivatives End-Users (pdf - 325 KB)This link will open in a new windowUpdated on November 16, 2018 - Gibson, Dunn & Crutcher LLP
• The Coalition for Derivatives End-Users (pdf - 218 KB)This link will open in a new windowUpdated on November 16, 2018 - Gibson, Dunn & Crutcher LLP
• The International Swaps and Derivatives Association, Inc. (pdf - 165 KB)This link will open in a new windowUpdated on November 16, 2018 - ISDA - Katherine Darras
• The Portfolio Management Association of Canada (pdf - 2 MB)This link will open in a new windowUpdated on November 16, 2018 - PMAC - Katie Walmsley & Margaret Gunawan
• TransAlta Corporation (pdf - 597 KB)This link will open in a new windowUpdated on November 16, 2018 - Daryck Riddell, Kendra Fergusson
• TransCanada Corporation (pdf - 603 KB)This link will open in a new windowUpdated on November 16, 2018 - Matthew Davies
• Western Union Business Solutions (pdf - 5 MB)This link will open in a new windowUpdated on November 16, 2018 - Shannon Seitz

• Regulatory Notice (pdf - 20 KB)This link will open in a new windowUpdated on June 14, 2018Business Conduct
• CSA Notice of second consultation (pdf - 368 KB)This link will open in a new windowUpdated on June 14, 2018Business Conduct
• Regulation 93-101 respecting Derivatives: Business Conduct (pdf - 156 KB)This link will open in a new windowUpdated on June 14, 2018Business conduct
• Policy statement to Regulation 93-101 respecting Derivatives: Business Conduct (pdf - 231 KB)This link will open in a new windowUpdated on June 14, 2018Business Conduct

Comments received (comments are published in their original language)

• ATB Financial (pdf - 5 MB)This link will open in a new windowUpdated on November 16, 2018- Lisa McDonald
• BlackRock Asset Management Canada Limited (pdf - 278 KB)This link will open in a new windowUpdated on November 16, 2018 - Margaret Gunawan
• Canadian Commercial Energy Working Group (pdf - 128 KB)This link will open in a new windowUpdated on November 16, 2018 - Eversheds Sutherland (US) LLP, Alexander S. Holtan
• Canadian Credit Union Association (pdf - 299 KB)This link will open in a new windowUpdated on November 16, 2018 – CCUA - Brenda M. O’Connor
• Canadian Market Infrastructure Committee (pdf - 211 KB)This link will open in a new windowUpdated on November 16, 2018- CMIC
• Canadian Commercial Energy Working Group (pdf - 106 KB)This link will open in a new windowUpdated on November 16, 2018 - Eversheds Sutherland (US) LLP, Alexander S. Holtan
• Capital Power Corporation (pdf - 408 KB)This link will open in a new windowUpdated on November 16, 2018 – Zoltan Nagy-Kovacs
• Comité de l'infrastructure du marché canadien(pdf - 251 KB)This link will open in a new windowUpdated on November 16, 2018 – CMIC
• Franklin Templeton Investments Corp. (pdf - 162 KB)This link will open in a new windowUpdated on November 16, 2018 - FTIC - Brad Beuttenmiller
• International Energy Credit Association (pdf - 7 MB)This link will open in a new windowUpdated on November 16, 2018 - IECA - Priscilla Bunke
• International Swaps and Derivatives Association (pdf - 101 KB)This link will open in a new windowUpdated on November 16, 2018 – ISDA - Katherine Darras
• Japanese Bankers Association (pdf - 195 KB)This link will open in a new windowUpdated on November 16, 2018 – JBA - Hideharu Iwamoto
• Oliver Publishing Inc. (pdf - 182 KB)This link will open in a new windowUpdated on November 19, 2018 (Callum James)
• Olympia Trust Company (pdf - 4 MB)This link will open in a new windowUpdated on November 16, 2018 - Craig Skauge, Derick Kachuik
• Portfolio Management Association of Canada (pdf - 145 KB)This link will open in a new windowUpdated on November 16, 2018 – PMAC - Katie Walmsley, Margaret Gunawan
• Stikeman Elliott (pdf - 271 KB)This link will open in a new windowUpdated on November 16, 2018 - Alix d'Anglejan-Chatillon, Ken Ottenbreit, Sterling Dietze, Ramandeep Grewal, Margaret Grottenthaler, Philip Henderson
• The Alternative Investment Management Association Canada Inc. (pdf - 365 KB)This link will open in a new windowUpdated on November 16, 2018 – AIMA
• The Asset Management Group of the Securities Industry and Financial Markets Association (pdf - 360 KB)This link will open in a new windowUpdated on November 16, 2018 - SIFMA AMG - Timothy W. Cameron, Jason Silverstein, Andrew Ruggier
• The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 222 KB)This link will open in a new windowUpdated on November 16, 2018 – CAC
• The Canadian Life and Health Insurance Association (pdf - 94 KB)This link will open in a new windowUpdated on November 16, 2018 - CLHIA - James Wood
• Western Union Business Solutions (pdf - 5 MB)This link will open in a new windowUpdated on November 16, 2018 - Shannon Seitz

• Regulatory Notice (pdf - 16 KB)This link will open in a new windowUpdated on October 12, 2017
• CSA Notice and Request for comment (pdf - 90 KB)This link will open in a new windowUpdated on October 12, 2017"CSA Notice, Request for Comment, Draft, Regulation, amend, 94-101, Mandatory Central Counterparty, Clearing of Derivatives, Draft, Amendments, Policy Statement, Regulation 94-101"
• Regulation to amend Regulation 94-101 (pdf - 39 KB)This link will open in a new windowUpdated on October 12, 2017"Regulation, amend, 94-101, Mandatory Central Counterparty, Clearing of Derivatives"
• Amendments to Policy Statement to Regulation 94-101 (pdf - 26 KB)This link will open in a new windowUpdated on October 12, 2017"Amendments, Policy Statement, Regulation, 94-101, Mandatory Central Counterparty, Clearing of Derivatives"

Comments received (comments are published in their original language)

• Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 170 KB)This link will open in a new windowUpdated on January 12, 2018 (CAC)
• Canadian Market Infrastructure Committee (pdf - 379 KB)This link will open in a new windowUpdated on January 12, 2018request, comment, proposal, amendments, national, instrument, 94-101, clearing, derivatives, companion, policy (CMIC)
• I (pdf - 164 KB)This link will open in a new windowUpdated on January 12, 2018request, comment, proposal, amendments, national, instrument, 94-101, clearing, derivatives, companion, policynternational Swaps and Derivatives Association, Inc. (pdf - 164 KB)This link will open in a new windowUpdated on January 12, 2018request, comment, proposal, amendments, national, instrument, 94-101, clearing, derivatives, companion, policy (ISDA)

• Regulatory Notice (pdf - 224 KB)This link will open in a new windowUpdated on March 21, 2022Projet de Règlement 93-101 sur la conduite commerciale en dérivés
• CSA Notice and Request for Comment (pdf - 174 KB)This link will open in a new windowUpdated on April 4, 2017Derivatives: Business Conduct
• Draft Regulation 93-101 (pdf - 154 KB)This link will open in a new windowUpdated on April 4, 2017Business Conduct
• Draft Policy Statement to Regulation 93-101 (pdf - 184 KB)This link will open in a new windowUpdated on April 4, 2017Derivatives: Business Conduct

Comments received (comments are published in their original language)

Associated Foreign Exchange, ULC

(AFEX)

Asset Management Group of the Securities Industry

(SIFMA AMG)

Bruce Power L.P.

Canadian Bankers Association

(CBA)

Canadian Commercial Energy Working Group submits by Eversheds Sutherland (US) LLP

(the Working Group)

Canadian Credit Union Association

(CCUA)

Canadian Market Infrastructure Committee

(CMIC)

Capital Power Corporation

(Capital Power)

Enbridge Inc.

(Enbridge)

Franklin Templeton Investments Corp.

(FTIC)

International Energy Credit Association

(IECA)

Investment Industry Association of Canada

(IIAC)

Investor Advisory Panel

International Swaps and Derivatives Association, Inc.

(ISDA)

Just Energy Corp.

(Just Energy)

Osler Hoskin and Harcourt LLP

(Osler)

Pension Investment Association of Canada

(PIAC)

Portfolio Management Association of Canada

(PMAC)

The Canadian Advocacy Council for Canadian CFA Institute

(CAC)

Western Union Business Solutions

(WU)

• Regulatory Notice (pdf - 21 KB)This link will open in a new windowUpdated on April 25, 2017
• CSA Notice and Request for Comment (pdf - 72 KB)This link will open in a new windowUpdated on April 25, 2017
• Regulation 91-102 (pdf - 19 KB)This link will open in a new windowUpdated on April 25, 2017"draft,Regulation, 91-102, Prohibition, Binary Options"
• Policy Statement to Regulation 91-102 (pdf - 40 KB)This link will open in a new windowUpdated on April 25, 2017"draft,policy statement, Regulation, 91-102, Prohibition, Binary Options.

Comments received (comments are published in their original language)

• Investment Industry Association of Canada (pdf - 789 KB)This link will open in a new windowUpdated on May 31, 2017Consultation on the Regulation 91-102 respecting Prohibition of Binary Options
• Canadian Market Infrastructure Committee (pdf - 394 KB)This link will open in a new windowUpdated on May 31, 2017Consultation on the Regulation 91-102 respecting Prohibition of Binary Options (CMIC)
• Group TMX (pdf - 33 KB)This link will open in a new windowUpdated on May 29, 2017 (TMX)
• Nadex (pdf - 3 MB)This link will open in a new windowUpdated on May 31, 2017Consultation on the Regulation 91-102 respecting Prohibition of Binary Options
• The Canadian Advocacy Council for Canadian CFA Institute Societies (pdf - 190 KB)This link will open in a new windowUpdated on August 7, 2017Consultation on the Regulation 91-102 respecting Prohibition of Binary Options (CAC)
• Canadian Foundation for Advancement of Investor Rights (pdf - 548 KB)This link will open in a new windowUpdated on August 7, 2017Consultation on the Regulation 91-102 respecting Prohibition of Binary Options (FAIR)

• Notice - Request for comment (pdf - 47 KB)This link will open in a new windowUpdated on February 1^st, 2017"avis,consultation,projet,règlement,modifiant,instruments dérivés"
• Regulation to amend the Derivatives Regulation (pdf - 46 KB)This link will open in a new windowUpdated on February 1^st, 2017"projet,règlement,modifiant,instruments dérivés"

Comments received (comments are published in their original language)

• Association canadienne du commerce des valeurs mobilières (ACCVM) (pdf - 583 KB)This link will open in a new windowUpdated on March 3, 2017Commentaires sur le projet de consultation sur le règlement modifiant le Règlement sur les instruments dérivés.
• CMC Markets (CMC) (pdf - 79 KB)This link will open in a new windowUpdated on March 3, 2017Consultation on the Regulation to amend the Derivatives Regulation
• Canadian Market Infrastructure Committee (pdf - 393 KB)This link will open in a new windowUpdated on March 13, 2017Consultation on the Regulation to amend the Derivatives Regulation (CMIC)
• International Swaps and Derivatives Association Inc. (pdf - 314 KB)This link will open in a new windowUpdated on March 13, 2017Consultation on the Regulation to amend the Derivatives Regulation (ISDA)
• Group TMX (pdf - 48 KB)This link will open in a new windowUpdated on March 6, 2017Commentaires sur le projet de consultation sur le règlement modifiant le Règlement sur les instruments dérivés (TMX)