Canada’s Securities Regulators Prepare New Rules for Derivative Sales


Canada’s securities commissions are introducing new rules to govern the sale of derivatives such as interest-rate swaps as part of a global effort to bring more oversight to a murky and largely unregulated segment of the financial industry.

The Canadian Securities Administrators, an umbrella group for Canada’s provincial and territorial securities commissions, unveiled proposed new rules Tuesday to govern sales of derivatives, modelling them on existing rules for the sales of other securities such as stocks.

The rules will apply to over-the-counter (OTC) derivatives, which are products that do not trade on a securities exchange and encompass the most commonly used derivatives in Canada.

Read full article here.

Janet Mcfarland – Globe and Mail – April 4, 2017.

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