MSC STAFF NOTICE 2014-25
MEMORANDUM OF UNDERSTANDING ABOUT
THE OVERSIGHT OF EXCHANGES AND
QUOTATION TRADE REPORTING SYSTEMS
The Manitoba Securities Commission, along with certain other Canadian securities regulators
published a Memorandum of Understanding (MOU) with respect to the coordination of
regulation and oversight of Exchanges and Quotation Trade Reporting Systems (QTRS) in
Canada (MSC Staff Notice 2009-42).
The MOU sets out a process for the coordinated oversight and regulation of various Exchanges
and QTRSs in Canada.
Attached to this Notice is the revised list of Exchanges, Lead Regulators and Exempting
Regulators as of July 1, 2014.
July 3, 2014
Contact:
Paula White
Manager Compliance and Oversight
Paula.white@gov.mb.ca
204-945-5195
List of Exchanges, Lead Regulators and Exempting Regulators
in relation to the
Memorandum of Understanding respecting the Oversight of Exchanges and
Quotation and Trade Reporting Systems
As of July 1, 2014
Exchange – QTRS
Lead Regulator(s)
Alpha Exchange Inc.
•
Ontario Securities
Commission
Bourse de Montréal Inc.
•
Autorité des marchés •
financiers
CNSX Markets Inc.
•
Ontario Securities
Commission
ICE Futures Canada Inc.
•
Manitoba Securities
*
Pursuant to a recognition order dated May 30, 2013 ASC recognized as an exchange ICE Futures Canada
Inc. and acknowledged in section 2 of the order that “Under a MOU respecting the oversight of exchanges
and QTRS among the ASC, AMF, BCSC, MSC, OSC and FCCA, the MSC has been designated as the lead
regulator for ICE Futures Canada, Inc.”. For the purpose of this MOU, the ASC will be considered an
Exempting Regulator and has the rights of an Exempting Regulator under this MOU.
Exempting Regulator(s)
•
Alberta Securities
Commission
•
Autorité des marchés
financiers
•
British Columbia
Securities
Commission
•
Manitoba Securities
Commission
•
Saskatchewan
Financial Services
Commission
Ontario Securities
Commission
•
Alberta Securities
Commission
•
Autorité des marchés
financiers
•
British Columbia
Securities
Commission
•
Manitoba Securities
Commission
•
Alberta Securities
Commission
*
List of Exchanges, Lead Regulators and Exempting Regulators
in relation to the
Memorandum of Understanding respecting the Oversight of Exchanges and
Quotation and Trade Reporting Systems
As of July 1, 2014
Exchange – QTRS
Lead Regulator(s)
Commission
Natural Gas Exchange Inc.
•
Alberta Securities
Commission
TSX Inc.
•
Ontario Securities
Commission
TSX Venture Exchange Inc.
•
Alberta Securities
Commission
•
British Columbia
Securities
Commission
Exempting Regulator(s)
•
Autorité des marchés
financiers
•
Ontario Securities
Commission
•
Autorité des marchés
financiers
•
Manitoba Securities
Commission
•
Ontario Securities
Commission
•
Saskatchewan
Financial Services
Commission
•
Alberta Securities
Commission
•
Autorité des marchés
financiers
•
British Columbia
Securities
Commission
•
Autorité des marchés
financiers
•
Manitoba Securities
Commission
•
Ontario Securities
Commission
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