Notice of Commission Approval of List of Exchanges
NOTICE OF COMMISSION APPROVAL
OF
AN AMENDED 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
The Memorandum of Understanding respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems (MOU) sets out the responsibilities of a lead regulator when conducting its oversight of an exchange or quotation and trade reporting system (QTRS) and the rights of an exempting regulator. The 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 (List of Exchanges) identifies each lead and exempting regulator for every exchange subject to the MOU. It is intended that the List of Exchanges be amended to reflect any changes concerning the status of recognition or exemption of exchanges and QTRSs and subsequently published by all regulators subject to the MOU.
The Autorité des marchés financiers has exempted ICE Futures Canada Inc. from recognition as an exchange and therefore has been added as an exempting regulator of ICE Futures Canada Inc. to the List of Exchanges. The amended List of Exchanges dated as of January 1, 2011 has been approved by the Commission. The amended List of Exchanges is found at Appendix A of this Notice and a marked version indicating the amendments is found at Appendix B.
December 17, 2010
Appendix A
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 January 1, 2011
|
Exchange -- QTRS |
Lead Regulator(s) |
Exempting Regulator(s) |
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Bourse de Montréal Inc. |
• |
Autorité des marchés financiers |
• |
Ontario Securities Commission |
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|
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CNSX Markets Inc. |
• |
Ontario Securities Commission |
• |
Alberta Securities Commission |
|
• |
Autorité des marchés financiers |
|||
|
• |
British Columbia Securities Commission |
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|
• |
Manitoba Securities Commission |
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|
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|
ICE Futures Canada Inc. |
• |
Manitoba Securities Commission |
• |
Autorité des marchés financiers |
|
|
||||
|
Natural Gas Exchange Inc. |
• |
Alberta Securities Commission |
• |
Autorité des marchés financiers |
|
• |
Manitoba Securities Commission |
|||
|
• |
Ontario Securities Commission |
|||
|
|
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|
TSX Inc. |
• |
Ontario Securities Commission |
• |
Alberta Securities Commission |
|
• |
Autorité des marchés financiers |
|||
|
• |
British Columbia Securities Commission |
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|
|
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|
TSX Venture Exchange Inc. |
• |
Alberta Securities Commission |
• |
Autorité des marchés financiers |
|
• |
British Columbia Securities Commission |
• |
Manitoba Securities Commission |
|
|
• |
Ontario Securities Commission |
|||
Appendix B
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 January 1, 20102011
|
Exchange -- QTRS |
Lead Regulator(s) |
Exempting Regulator(s) |
||
|
|
||||
|
Bourse de Montréal Inc. |
• |
Autorité des marchés financiers |
• |
Ontario Securities Commission |
|
|
||||
|
CNSX Markets Inc. |
• |
Ontario Securities Commission |
• |
Alberta Securities Commission |
|
• |
Autorité des marchés financiers |
|||
|
• |
British Columbia Securities Commission |
|||
|
• |
Manitoba Securities Commission |
|||
|
|
||||
|
ICE Futures Canada Inc. |
• |
Manitoba Securities Commission |
• |
Autorité des marchés financiers |
|
|
||||
|
Natural Gas Exchange Inc. |
• |
Alberta Securities Commission |
• |
Autorité des marchés financiers |
|
• |
Manitoba Securities Commission |
|||
|
• |
Ontario Securities Commission |
|||
|
|
||||
|
TSX Inc. |
• |
Ontario Securities Commission |
• |
Alberta Securities Commission |
|
• |
Autorité des marchés financiers |
|||
|
• |
British Columbia Securities Commission |
|||
|
|
||||
|
TSX Venture Exchange Inc. |
• |
Alberta Securities Commission |
• |
Autorité des marchés financiers |
|
• |
British Columbia Securities Commission |
• |
Manitoba Securities Commission |
|
|
• |
Ontario Securities Commission |
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