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Regulated Industries

The Financial and Consumer Services Commission of New Brunswick 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 44,000 industry participants who make their living working with New Brunswickers’ money. These industry participants handle more than $50 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.

93-101 - Derivatives: Business Conduct

Category: 9 - Derivatives

Status:

Current Instruments:

No	Document	Type	Publication Date
93-101	National Instrument	National Instrument	01/10/2024
93-101	Companion Policy	Companion Policy	01/10/2024

Related Documents:

No	Document	Type	Publication Date
93-101	CSA Staff Notice 93-301 Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period	CSA Notice	15/06/2017
93-302	CSA Staff Notice 93-302 - Frequently Asked Questions about National Instrument 93-101 Derivatives: Business Conduct	CSA Notice	12/09/2024
93-930	CSA Notice regarding Coordinated Blanket Order 93-930-Temporary exemptions for derivatives firms from certain transacting and reporting obligations	CSA Notice	25/07/2024
93-930	Coordinated Blanket Order 93-930-Temporary exemptions for derivatives firms from certain transacting and reporting obligations	Blanket Order	25/07/2024

History:

No	Document	Type	Publication Date
93-101	CSA Notice and Second Request for Comment Proposed NI 93-101	CSA Notice	14/06/2018
93-101	CSA Notice and Request for Comment Proposed NI 93-101 Derivatives: Business Conduct	CSA Notice	04/04/2017
93-101	CSA Notice and Third Request for Comment – Proposed National Instrument 93-101 Derivatives: Business Conduct	CSA Notice	20/01/2022
93-101	CSA Notice of Publication – Multilateral Instrument 93-101 Derivatives: Business Conduct and it’s Companion Policy	CSA Notice	28/09/2023
93-101	Ministerial Consent	Ministerial Consent	20/08/2024