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The ASC has the statutory power to recognize exchanges. This recognition allows the exchanges to operate and sets out the terms and conditions under which the exchanges are regulated. The ASC has recognized the TSX Venture Exchange Inc. and the Natural Gas Exchange Inc. (NGX) as exchanges. The ASC has also recognized ICE Futures U.S., Inc., New York Mercantile Exchange, Inc., Chicago Mercantile Exchange, Inc., Chicago Board of Trade and Commodity Exchange, Inc. as exchanges. The ASC has granted Toronto Stock Exchange, and ICE Futures Europe exemptions from recognition as exchanges.
The ASC has also recognized additional entities, including exchanges and quotation and trade reporting systems, for the application of various sections of Alberta securities laws. This recognition is limited to the specific section of the regulatory instrument to which it relates and is outlined in an order entitled ‘Recognition of Various Exchanges for Specific Purposes’, which can be found here.
Click on a title to see the documents associated with each organization.
Aequitas Neo Exchange Inc.
Alpha Exchange Inc.
Bloomberg SEF LLC
Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.
Canadian National Stock Exchange (CNSX)
CBOE Futures Exchange, LLC
Chicago Board of Trade (CBOT)
ICAP Global Derivatives Limited
ICE Futures Europe
ICE Futures U.S., Inc.
ICE Swap Trade, LLC
The Canadian Securities Administrators (CSA) has developed a framework for regulating ATSs. National Instrument 21-101 Marketplace Operation, and National Instrument 23-101 Trading Rules, with their Companion Policies make up the “ATS Rules”.
The ASC has recognized NGX as a Clearing Agency. Please see its link above for the recognition order.
The ASC has the statutory power to recognize trade repositories. The ASC has recognized ICE Trade Vault, LLC, Chicago Mercantile Exchange Inc. and DTCC Data Repository (U.S.) LLC as trade repositories.
ICE Trade Vault, LLC
Chicago Mercantile Exchange Inc.
DTCC Data Repository (U.S.) LLC