Stay up to date with the Alberta Securities Act and Regulation 2024-2025 – a biannual consolidation of the relevant statute law and policies.

New and Updated in this Edition:

Materials/Notices - Added

CSA Staff Notice 21-334 - Next Steps to Facilitate Access to Real-Time Market Data
CSA/CIRO Staff Notice 23-331 - Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets
CSA Staff Notice 31-365 - OBSI Joint Regulators Committee Annual Report for 2023
CSA Staff Notice 31-930 - Regarding Coordinated Blanket Order 31-930 - Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus
ASC Coordinated Blanket Order 31-930 - Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus
Multilateral CSA Notice 45-539 - Amendments to Alberta and Saskatchewan Orders 45-539 - Small Business Financing
CSA Notice 93-930[1] – Regarding Coordinated Blanket Order 93-930 - Temporary exemptions for derivatives firms from certain obligations when transacting with certain investment funds and for senior derivatives managers from certain reporting obligations
ASC Coordinated Blanket Order 93-930 - Temporary Exemptions for Derivatives Firms from Certain Obligations When Transacting with Certain Investment Funds and for Senior Derivatives Managers from Certain Reporting Obligations
2024/02/01 – Omnibus Authorization by the Commission under Subsection 22(4) of the Securities Act
2024/01/31 – Omnibus Authorization by the Executive Director under Subsection 17(2) of the Securities Act
2023/01/01 – Memorandum of Understanding regarding Oversight of the Canadian Investor Protection Fund (CIPF)
2022/02/25 – Memorandum of Understanding Concerning Cooperation Arrangements for Central Counterparties - ESMA (European Securities and Markets Authority)
CSA Staff Notice 93-302 – Frequently Asked Questions About National Instrument 93-101 Derivatives: Business Conduct

Notices Replaced

ASC Notice 33-706 (Revised) – Policy and Procedures Manual – Reference Resource for Exempt Market Dealers

Materials/Instruments - Updated

ASC Blanket Order 45-539 - Small Business Financing
National Instrument 81-102 & 81-102CP – Investment Funds
National Instrument 93-101 & 93-101CP – Derivatives: Business Conduct changes effective September 28, 2024
Multilateral Instrument 96-101 - Trade Repositories and Derivatives Data Reporting; inserted changes in grey boxes; changes will not take effect until July 25, 2025
Companion Policy 96-101CP - Trade Repositories and Derivatives Data Reporting – editorial note added re changes that will not take effect until July 25, 2025

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Alberta Securities Act and Regulations 2024-2025

Alberta Securities Act and Regulations 2024-2025