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Derivatives Business Conduct Rule Issued by the Canadian Securities Administrators | Blake, Cassels & Graydon LLP

Background - After a 10-year long consultation process, the Canadian Securities Administrators (CSA) have published Multilateral Instrument 93-101 – Derivatives: Business.

United kingdomUnited statesNew zealandHong kongSouth koreaRepublic of koreaA derivatives firmOntario securities commission ruleDerivatives partyNational instrumentDerivatives party fairEuropean unionDerivatives firmCanadian investment regulatory organizationUnited states commodity exchange actBritish columbia securities commission

VISN MARI : THE SECURITIES TO WHICH THIS SUBSCRIPTION AGREEMENT RELATES HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE US SECURITIES ACT ), OR UNDER ANY OTHER APPLICABLE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES, AND MAY NOT BE OFFERED OR SOLD IN THE UNITED STATES OR TO OR FOR THE ACCOUNT OR BENEFIT OF U S PERSONS UNLESS SUCH SECURITIES ARE REGISTERED UNDER THE U S SECURITIES ACT AND APPLICABLE STATE SECURITIES LAWS, OR AN EXEMPTION FROM THE R -September 20, 2023 at 05:29 pm EDT

THE SECURITIES TO WHICH THIS SUBSCRIPTION AGREEMENT RELATES HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED , OR UNDER ANY OTHER APPLICABLE SECURITIES LAWS.

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CSA and CIRO Publish Review of Registrants Conflicts of Interest Practices | Stikeman Elliott LLP

On August 3, 2023, the Canadian Securities Administrators (“CSA”) and the Canadian Investment Regulatory Organization (“CIRO,” and together with the CSA, the “Regulators”) published.

Stikeman elliottCanadian investment regulatory organizationNational instrumentCanadian securities administratorsFocused reformsRegistrant conflictsInterest practicesAdditional guidanceOngoing registrant obligationsCompanion policy

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