Derivatives Trade Reporting Rules – Information Webinar

Derivatives Trade Reporting Rules – Information Webinar

Do you use hedges or options, or trade swaps, forwards or other over-the-counter (OTC) derivatives?

If so, an upcoming Canadian securities regulators’ derivatives information session will explain how to ensure you are in compliance with new OTC derivatives reporting requirements.

You are invited to participate in a webinar on Wednesday, February 24, 2016 that will offer a breakdown of OTC derivatives trade reporting rules (91-101 Product Determination and 96-101 Trade Repositories and Derivatives Trade Reporting) and that are being implemented as of May 1, 2016 in British Columbia, Alberta, Saskatchewan, New Brunswick, Prince Edward Island, Nova Scotia, Newfoundland and Labrador, Yukon, Northwest Territories and Nunavut. The webinar begins at 10 a.m. MST (12 noon EST, 9 a.m. PST) and is expected to last approximately two hours.

The session will address:

 Derivatives trade reporting:

o The types of contracts that will be required to be reported.

o The reporting requirements (who, what, where, when and how).

o Requirements relating to trade repositories.

o Differences from local rules in Manitoba, Ontario and Québec.

o Proposed amendments:

 Exclusion from reporting for some inter-affiliate transactions.

 Public dissemination of reported data.

 Proposed rules for Mandatory Clearing (Proposed NI 94-101) and Protection of Customer Collateral (Proposed NI 94-102).

Martin McGregor and Chad Conrad of the Alberta Securities Commission, and Michael Brady of the British Columbia Securities Commission will be presenting. They will also be available to answer questions on these derivatives rules.

You can register for the webinar by filling out this registration form.

Please forward this invitation to anyone you think might be interested in attending the information session.

* To ensure you can hear the webcast, please use a computer with sound capabilities.

If you no longer want to receive reports and event invitations from the Alberta Securities Commission, please email events@asc.ca and place “Remove from all lists” in the subject line

Failure to file annual financial statements.
Failure to file interim financial statements.
Failure to file an annual or interim management’s discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP).
Failure to file an Annual Information Form (AIF).
Failure to file a certification of annual or interim filings required by Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109).
Failure to file required proxy materials or a required information circular.
Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI).
Failure to file a material change report.
Failure to provide a written update after filing a confidential report of a material change.
Failure to file a business acquisition report.
Failure to file annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101).
Failure to file a mandatory news release.
Failure to file corporate governance disclosure as required by national Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101).
Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees (MI 52-110) or BC Instrument 52-509 Audit Committees.
Failure to include disclosure in an issuer’s MD&A relating to disclosure controls and procedures and their direct effectiveness that is referred to in a certificate filed under MI 52-109.
Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply with the requirements of NI 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency (NI 52-107).
The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financial statements, may no longer be relied upon.
The reporting issuer’s AIF, MD&A, MRFP, information circular, or business acquisition reports do not contain information for each of the content items required by NI 51-102 or NI 81-106.
The reporting issuer’s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or 51-101.
Failure to pay a fee required by the Act or the regulations.
Failure to comply with any other requirement related to continuous disclosure.