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Regulated Industries

FCNB is responsible for the regulation and enforcement of securities, insurance, pensions, credit unions, trust and loan companies, co-operatives, mortgage brokers, pay day lenders, real estate and a wider range of other consumer legislation. We regulate 40,000 industry participants who make their living working with New Brunswickers’ money. These industry participants handle more than $34 billion of New Brunswick consumers’ money.

Questions about your industry’s regulations and legislation? Proposed rule changes? Looking for bulletins and notices? If you operate a business in, or work in, one of these regulated industries, here’s where you’ll find answers.

23-103 - Electronic Trading

Current Instruments

Category

2 - Certain Capital Market Participants

No	Document	Type	Publication Date
23-103	National Instrument (Consolidated up to 1 March 2014)	National Instrument	01/03/2014
23-103	Companion Policy (Consolidation up to 5 May 2015)	Companion Policy	05/05/2015

Related Documents

No	Document	Type	Publication Date
21-329	Joint Canadian Securities Administration/Investment Industry Regulatory Organization of Canada Staff Notice 21-329 Guidance for Crypto-Asset Trading Platforms	CSA Notice	29/03/2021
21-328	CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities	CSA Notice	05/03/2020

History

No	Document	Type	Publication Date
23-103	Changes to 23-103 CP	Changes to Companion Policy	05/05/2015
23-103	Ministerial Consent	Ministerial Consent	28/04/2015
23-103	CSA Notice of Amendments to NI 45-106 Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions	CSA Notice	19/02/2015
23-103	Amendment Instrument to NI 23-103	Amendments to Instrument	01/03/2014
23-103	Companion Policy (Consolidated up to 1 March 2014)	Companion Policy	01/03/2014
23-103	Ministerial Consent	Ministerial Consent	14/01/2014
23-103	CSA Notice of Amendments to NI 23-103	CSA Notice	04/07/2013
23-103	Companion Policy	Companion Policy	01/03/2013
23-103	National Instrument	National Instrument	01/03/2013
23-103	CSA Notice and Request for Comment - Proposed Amendments to NI 23-103 Electronic Trading	CSA Notice	25/10/2012
23-103	Ministerial Consent	Ministerial Consent	14/08/2012
23-103	CSA Notice of Adoption of NI 23-103 Electronic Trading and consequential amendments to MI 11-102	CSA Notice	28/06/2012
23-103	CSA Notice and Request for Comment - Proposed NI 23-103 Electronic Trading and Direct Electronic Access to Marketplaces	CSA Notice	08/04/2011