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ARTICLE · 07 MAY 2013

Canadian Securities Administrators Release Consultation Paper 91-407

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Consultation Paper 91-407 leaves a number of questions unanswered - it does not establish thresholds for registration as an LDP nor does it provide recommendations for minimum capital, margin or insurance requirements.

CanadaFinance and Banking
Carol Derk
Carol Derk
Julie Mansi
Julie Mansi
Prema Thiele
Prema Thiele
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On April 18, 2013, the Canadian Securities Administrators Derivatives Committee (the "Committee") released Consultation Paper 91-407 Derivatives: Registration ("Consultation Paper 91-407") [available here]. Consultation Paper 91-407 is part of a series of eight consultation papers that expand on the proposals for the regulation of over-the-counter (OTC) derivatives set out in Consultation Paper 91-401.

Consultation Paper 91-407 provides an overview of the Committee's proposal for the regulation of key derivatives market participants through the implementation of a registration regime and details recommendations on issues such as the activities that will trigger derivatives registration, the categories of derivatives registrants, the obligations of the derivatives registrants and proposed exemptions from registration.

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