Regulatory Instrument Details

Securities Law & Policy

93-101 Derivatives: Business Conduct [Multilateral Instrument]

93-101
Number
Title
Regulatory Instrument Type
Date Type
Date
93-101
Derivatives: Business Conduct - Consolidated Version
As Amended - National Instrument - 09/28/2024
National Instrument
As Amended
09/28/2024
93-101F1
Submission to Jurisdiction and Appointment of Agent for Service of Process - Consolidated Version
As Amended - Form - 09/28/2024
Form
As Amended
09/28/2024
93-101CP
Companion Policy to NI 93-101 - Consolidated Version
As Changed - Companion Policy - 09/28/2024
Companion Policy
As Changed
09/28/2024

Proposed Amendments Related to 93-101

No documents found
Related (5) Historic (12)
Number
Title
Regulatory Instrument Type
Status
Date
93-930
Temporary exemptions for derivatives firms from certain obligations when transacting with certain investment funds and for senior derivatives managers from certain reporting obligations
Effective - Blanket Order - 09/28/2024
Blanket Order
Effective
09/28/2024
93-302
Frequently Asked Questions about National Instrument 93-101 Derivatives: Business Conduct
Published - CSA Notice - 09/12/2024
CSA Notice
Published
09/12/2024
Request for Comment Proposed NI 93-102 Derivatives: Registration and Proposed Related Companion Policy (includes comment letters received)
Published - CSA Notice - 04/19/2018
CSA Notice
Published
04/19/2018
93-301
Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period
Published - CSA Notice - 06/15/2017
CSA Notice
Published
06/15/2017
91-401
Over-the-Counter Derivatives Regulation in Canada
Published - Consultation Paper - 11/02/2010
Consultation Paper
Published
11/02/2010
Number
Title
Regulatory Instrument Type
Status
Date
93-101
Derivatives: Business Conduct
Effective - Multilateral Instrument - 09/28/2024
Multilateral Instrument
Effective
09/28/2024
93-101CP
Companion Policy to MI 93-101
Effective - Companion Policy - 09/28/2024
Companion Policy
Effective
09/28/2024
93-101F1
Submission to Jurisdiction and Appointment of Agent for Service of Process
Effective - Form - 09/28/2024
Form
Effective
09/28/2024
93-101
Amendments to MI 93-101
Effective - Amendments to Instrument - 09/28/2024
Amendments to Instrument
Effective
09/28/2024
93-101CP
Changes to 96-101CP
Effective - Changes to Policy - 09/28/2024
Changes to Policy
Effective
09/28/2024
Amendments to MI 93-101
Published - ASC Notice - 08/28/2024
ASC Notice
Published
08/28/2024
Implementation of MI 93-101
Published - CSA Notice - 09/28/2023
CSA Notice
Published
09/28/2023
Third Request for Comment Proposed NI 93-101
Published - CSA Notice - 01/20/2022
CSA Notice
Published
01/20/2022
Second Request for Comment Proposed NI 93-101 Derivatives: Business Conduct and Related CP (includes comment letters received)
Published - CSA Notice - 06/14/2018
CSA Notice
Published
06/14/2018
Request for Comment Proposed National Instrument 93-101 Derivatives: Business Conduct and Related CP (includes comment letters received)
Published - CSA Notice - 04/04/2017
CSA Notice
Published
04/04/2017
Comment Letters in Response to CSA Consultation Paper 91-407 Derivatives: Registration
Published - Comment Letters - 07/08/2013
Comment Letters
Published
07/08/2013
91-407
Derivatives: Registration
Published - Consultation Paper - 04/18/2013
Consultation Paper
Published
04/18/2013

News Releases Related to 93-101

Title
Date
Canadian securities regulators announce temporary exemptions for derivatives dealers and advisers
Jul 25, 2024
Canadian securities regulators adopt business conduct rule for derivatives dealers and advisers
Sep 28, 2023
Canadian securities regulators seek input on proposed business conduct rules for derivatives dealers and advisers
Jan 20, 2022
Canadian securities regulators seek second round of input on proposed business conduct rules for derivatives dealers and advisers
Jun 14, 2018
Canadian securities regulators seek input on proposed business conduct rules for derivatives dealers and advisers
Apr 05, 2017