93-101 - Derivatives: Business Conduct (Multilateral Instrument)

93-101 - Derivatives: Business Conduct (Multilateral Instrument)

• Multilateral Instrument 93-101 - Derivatives: Business Conduct

  Multilateral Instrument 93-101 Derivatives: Business Conduct (MI 93-101) establishes a robust market conduct regime that is tailored for over-the-counter derivatives markets, meets International Organization of Securities Commissions' (IOSCO) international standards, and is harmonized both within Canada and with the regulatory approach taken by most IOSCO jurisdictions with active derivatives markets. MI 93-101 is designed to help protect participants in the over-the-counter derivatives markets from unfair, improper, or fraudulent practices and is intended to foster confidence in the Canadian financial markets.

  Effective Date: September 28, 2024. In Saskatchewan: September 28, 2024.

  multilateral_instrument_93_101_september_28_2024.pdf
• Companion Policy 93-101CP

  Effective Date: September 28, 2024. In Saskatchewan: September 28, 2024.

  mi_93_101_companion_policy.pdf
• Form 93-101F1 Submission to Jurisdiction and Appointment of Agent for Service of Process

  Effective Date: September 28, 2024. In Saskatchewan: September 28, 2024.

  mi_93_101_f1_september_28_2024.pdf
• CSA Notice of Publication with Annexes

  The Instrument is intended to provide valuable protections for OTC derivatives market participants regardless of the type of derivatives firm they deal with, balanced with efficient regulation of derivatives dealers and advisers that are operating in Canada.

  93_301_csa_staff_notice_september_28_2023.pdf