Learn about Proposed New Derivatives Registration & Business Conduct Rules

This event has passed.


Michael Brady (, Eric Thong (, and Jag Brar (


Vancouver, BC


Do you use, trade or advise about trading options, swaps, forwards or other over-the-counter (OTC) derivatives? Do you want additional information about how the proposed Registration & Business Conduct rules may affect you?

If so, learn about the new derivatives registration and business conduct rules.

On Wednesday, June 27, 2018 Canadian securities regulators presented an overview of both Proposed National Instrument 93-102 Derivatives: Registration and Proposed National Instrument 93-101 Derivatives: Business Conduct . Both proposed rules are open for public comment until September 17, 2018.

Staff from the Alberta Securities Commission, the British Columbia Securities Commission and the Financial and Consumer Services Commission (New Brunswick) presented the proposed rules and answered questions in a webinar. They also talked about how you can provide your input on the proposed rules to the regulators.

The session addressed the following:

  • The purpose of the proposed rules
  • How the proposed rules interconnect
  • Registration triggers
  • Categories of registration
  • Obligations under the proposed rules
  • Exemptions 
  • Specific questions posed by the Canadian Securities Administrators 

To access the webinar, please register.

A PDF copy of the presentation slides is here for your convenience.

Please contact us if you have questions about the proposed rules or any other derivatives rule:

Michael Brady, Manager, Derivatives, 604-899-6561

Eric Thong, Derivatives Market Specialist, 604-899-6772

Jag Brar, Derivatives Market Specialist, 604-899-6839