Securities Law & Instruments

93-101 - Proposed National Instrument 93-101 Derivatives: Business Conduct and a related proposed companion policy

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History of 93-101 - Proposed National Instrument 93-101 Derivatives: Business Conduct and a related proposed companion policy
September 20, 2018 Transcript: Roundtable on Derivatives Registration and Business Conduct Regimes
June 14, 2018 CSA Notice and Second Request for Comment – Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101CP Derivatives: Business Conduct
Comments Received
June 15, 2017 CSA Staff Notice 93-301 Derivatives Business Conduct Rule - No Overlap with Derivatives Registration Rule Comment Period
May 29, 2017 Transcript: Roundtable on Proposed Business Conduct Rules for Derivatives Dealers and Advisers
April 4, 2017 CSA Notice and Request for Comment - Proposed National Instrument 93-101 Derivatives: Business Conduct and a related proposed companion policy
Comments Received