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Securities Law and Policy Category 2: Certain Capital Market Participants

Date de publication: Septembre 23, 2024
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CSA Instruments and Policies
21-101 National Instrument - Marketplace Operation as of September 14, 2020
21-101 CP Companion Policy - Marketplace Operation as of September 14, 2020
23-101 National Instrument - Trading Rules as of April 10, 2017
23-101 CP Companion Policy - Trading Rules as of April 10, 2017
23-102 National Instrument - Use of Client Brokerage Commissions as of February 1, 2017
23-103 National Instrument - Electronic Trading and Direct Electronic Access to Marketplaces as of March 1, 2014
23-103 CP Companion Policy - Electronic Trading and Direct Electronic Access to Marketplaces as of May 5, 2015
24-101 National Instrument - Institutional Trade Matching and Settlement as of September 5, 2017
24-101 CP Company Policy - Institutional Trade Matching and Settlement as of September 5, 2017
24-102 National Instrument - Clearing Agent Requirements as of June 19, 2020
24-102 CP Companion Policy - Clearing Agent Requirements as of June 19, 2020
25-101 National Instrument - Designated Rating Organizations as of May 5, 2015
Local Rules and Blanket Orders
21-501 (Blanket Order)                Extension of Relief from National Instrument 21-101 Marketplace Operation Information Transparency Requirements for Government Debt Securities
21-502 (Blanket Order) An order exempting issuers whose securities are listed on the Alpha Venture Plus marketplace operated by Alpha Exchange Inc. from certain requirements of securities legislation
21-503 (Blanket Order) An order exempting issuers whose securities are listed on the Alpha Main marketplace operated by Alpha Exchange Inc. from certain requirements of securities legislation
21-504 (Blanket Order) In the Matter of Temporary Exemption from Certain Reporting Requirements for Regulated Entities Carrying on Business in Prince Edward Island
21-801, 21-801 (Amendment)                    Prince Edward Island Rule 21-801 - Marketplace Operation
23-501 (Blanket Order) Exemption from Certain Requirements in Part 6 of National Instrument 23-101 - Trading Rules
23-801, 23-801 (Amendment) Prince Edward Island Rule 23-801 - Trading Rules
24-501 (Blanket Order) In the Matter of Relief from Certain Reporting Requirements under National Instrument 24-202 Institutional Trade Matching and Settlement
24-801, 24-801 (Amendment) Prince Edward Island Rule 24-801 - Institutional Trade Matching and Settlement
24-930 (Blanket Order) CSA Coordinated Blanket Order 24-930 - Temporary Exemption from Filings Requirements of 24-101
   
   

 

Renseignements généraux

Division des services financiers et aux consommateurs

Ministère de la Justice et de la Sécurité publique

Immeuble Shaw (nord), 1er étage

105, rue Rochford

C.P. 2000

Charlottetown (Île-du-Prince-Édouard)  C1A 7N8

Téléphone: (902) 368-4550

Télécopieur: (902) 368-5283