Regulation 93-101 respecting Derivatives: Business Conduct (“Regulation 93-101”) provides exemptions for foreign derivatives dealers (section 39) and foreign derivatives advisers (section 46). Foreign derivatives dealers or foreign derivatives advisers relying on these exemptions in Québec are required to submit to the AMF Form 93-101F1 Submission to Jurisdiction and Appointment of Agent for Service of Process (pdf - 3 MB)This link will open in a new windowUpdated on August 16, 2024Form 93-101F1 - Submission to jurisdiction and appointment of agent for service of process (“Form 93-101F1”).

 

 

NOTES :

  1. The fact that a foreign derivatives firm is mentioned in this list means that it has filed a completed Form 93-101F1 with the AMF. This list shall not be construed as evidence that the firms mentioned therein meet any of the other conditions that must be fulfilled to rely on either of the exemptions set out in sections 39 and 46 of Regulation 93-101, including without limitation the requirement to be registered, licensed or authorized, or to otherwise operate under an exemption from registration under the securities, commodity futures or derivatives legislation of a foreign jurisdiction specified in Appendix A or D of Regulation 93-101.

  2. This list does not reflect all the exemptions that may be available to a foreign derivatives firm for its transactions with a derivatives party. These include, but are not limited to, the following exemptionsThere are no form filing requirements for relying on these exemptions.:
    1. section 37 [foreign liquidity providers – transactions with derivatives dealers];
    2. section 44 [certain notional amounts of certain commodity derivatives and other derivatives activity];
    3. section 47 [foreign derivatives sub-advisers].