ARTICLE · 13 SEPTEMBER 2017

Reminder Of Canadian Customer Collateral Reporting Obligations

Stikeman Elliott LLP

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These regulatory reporting obligations are in addition to the other compliance obligations under the Customer Collateral Rule.

CanadaFinance and Banking

Alix D'Anglejan-Chatillon

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No substituted compliance available to U.S. and EU clearing intermediaries and agencies

The first filings of customer collateral delivery reports by direct and indirect clearing intermediaries and regulated clearing agencies were due August 15, 2017 under National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions (Regulation 94-202 in Quebec) (the Customer Collateral Rule) in applicable Canadian jurisdictions.

The Customer Collateral Rule came into force on July 3, 2017 and requires that a clearing intermediary and a regulated clearing agency (as defined in the instrument) deliver the applicable form to the securities or derivative regulatory authority of each Canadian jurisdiction in which it has a local customer in relation to cleared derivatives. Interested market participants should refer to the requirements and related forms at CSA Staff Notice 94-302 Delivery of Forms Required Under National Instrument 94-102

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