Standard held by Allooloo Technologies Corp. · Open standard, MIT licence.

SM-ECO-10060 · Canada

SM-ECO-10060sm-eco-10060.org/market/ca/

Canada · ca-eco-10060

chapter ca.chapter.v14 · supersedes ca.chapter.v13 · as of 2026-10-31 · node ca-cm-kg · https://mcp.ca-cm-kg.ai/book/

7.2 The field element (every catalogue entry below is one of these)

Appendix A · ECO market section

ECO · ca.eco.v6 · supersedes ca.eco.v5 · produced 2026-10-31T01:45:37Z · signed on the node door

The catalogue starts from identifying the duty, obtaining the relevant facts, recognising constraints, supporting an action and preserving evidence. It retains the current page's sourceable information and extends the chapter beyond the page. Each regime is scoped to the instruments, actors and activities its evidence applies to. No tax or settlement value is treated as universal to a market.

jurisdiction_scopeTerritory, regime boundaries and cross-border applicability
regime
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, as interpreted by the Canadian Securities Administrators
delivery_of_notices
registrants must deliver all disclosure and notices required under NI 31-103 to the registrant's principal regulator
cross_border_exception
does not apply to notices under sections 8.18 [international dealer] and 8.26 [international adviser]; these notices go to the regulator in each jurisdiction where they are registered or relying on an exemption from registration

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1 · dated June 6, 2022

competent_authoritiesRegulators, competent authorities and allocation of responsibilityOntario Securities Commission (OSC) - 'an independent Crown agency that regulates Ontario's capital markets'. Canada has no single national securities regulator; provincial/territorial regulators act together as the Canadian Securities Administrators (CSA), whose own site could not be read (see notes)

source https://www.osc.ca/en/about-us · dated not found

duty_mapApplicable product-governance and suitability duties by activity and actor
  • duty
    KYP (Know Your Product), NI 31-103

source https://mcp.getissuer.ai/mcp · dated not found

regulated_activitiesActivities requiring authorisation and their scope
  • activity
    in the business of trading
  • activity
    in the business of advising
  • activity
    holding themselves out as being in the business of trading or advising
  • activity
    acting as an underwriter
  • activity
    acting as an investment fund manager

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1 · dated June 6, 2022

participant_categoriesIssuer, intermediary, investor and client categories
  • category
    registered firm
    definition
    a registered dealer, a registered adviser, or a registered investment fund manager

source https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf · dated January 11, 2015

product_categoriesInstrument classes, exclusions and special regimes
  • class
    securities
    special_regime
    In Alberta, British Columbia, New Brunswick and Saskatchewan, a reference to securities includes exchange contracts, unless the context otherwise requires

source https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf · dated January 11, 2015

issuer_and_listing_scopeDomicile, listing and issuer-status distinctions
securities_issuer
an entity that issues or trades in its own securities
prospectus
Securities issuers that are distributing securities are subject to the prospectus requirements unless an exemption is available

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1 · dated June 6, 2022

exchanges_and_venuesVenue identities linked to AMP records

source https://www.tsx.com/en/listings · dated not found

information_storesAuthoritative regulated-information repositoriesSEDAR+ - 'the new, secure web-based system used by all market participants to file, disclose and search' (CSA system, launched July 25, 2023, replaced SEDAR)

source https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/ · dated not found

store_lookupDocumented lookup methods and identifier requirementsSEDAR+ public access (no account): search issuer profiles ('Contains'/'Starts with'), search and download documents by profile and document type/date range (30 documents at a time, CSV export), reporting issuers list, cease trade order search

source https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/ · dated not found

periodic_reportingPeriodic duties, deadlines, triggering events and exceptions
  • report
    Annual financial statements - NI 51-102 s.4.2
    deadline
    Issuer other than a venture issuer: on or before the earlier of the 90th day after the end of its most recently completed financial year and the date of filing in a foreign jurisdiction; venture issuer: the 120th day (same foreign-filing alternative)
  • report
    Interim financial report - NI 51-102 s.4.4
    deadline
    Issuer other than a venture issuer: on or before the earlier of the 45th day after the end of the interim period and foreign-filing date; venture issuer: the 60th day
  • report
    Annual information form (AIF)
    deadline
    A company that is not a venture issuer must file an AIF every year, usually 90 days after the end of the company's most recent financial year

source https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf · dated not found

ad_hoc_disclosureEvent-driven and inside-information disclosure obligationsNI 51-102 Part 7: if a material change occurs the reporting issuer must (a) 'immediately issue and file a news release authorized by an executive officer disclosing the nature and substance of the change' and (b) 'as soon as practicable, and in any event within 10 days of the date on which the change occurs, file a Form 51-102F3 Material Change Report'; confidential filing permitted under s.7.1(2)

source https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf · dated not found

filing_formatsRequired formats, validation requirements and document typesnot found
filing_languagesRequired or accepted languages and translation conditionsNI 51-102 s.3.1: 'A person or company must file a document required to be filed under this Instrument in French or in English'; if filed in one language only but delivered to securityholders in the other, the other version must be filed no later than first delivery; in Quebec, linguistic obligations apply

source https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf · dated not found

prospectus_regimeOffering and admission requirements, exemptions and thresholds
  • requirement
    Securities issuers that are distributing securities are subject to the prospectus requirements unless an exemption is available.
  • requirement
    Regulators have the discretionary authority to require an underwriter for a prospectus distribution.

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1 · dated June 6, 2022

takeover_regimeOffer rules, control triggers and shareholder treatmentnot found
ownership_reportingSignificant holdings, beneficial ownership and notification dutiesnot found
short_sellingRestrictions, disclosure, locate or borrowing requirements, emergency measuresnot found
market_abuseInsider dealing, manipulation and related disclosure regimesnot found
trading_controlsMarket-wide trading constraints and intervention powersnot found
market_calendarAuthoritative calendars and exceptional closuresTSX/TSXV calendar of Canadian and US holidays (2026 and 2025 shown) and early closes, e.g. Thu Dec 24 2026 closes 1:00 PM; Thanksgiving Mon Oct 12 2026; In lieu of Boxing Day Mon Dec 28 2026

source https://www.tsx.com/en/trading/calendars-and-trading-hours/calendar · dated not found

halts_sourcesOfficial halt and suspension sources with scopeTSX 'Reviews and Suspensions' notice log (TSX delisting reviews and TSX trading suspensions); page does not use the word halts and is a notice history, not a live halt board

source http://tsx.com/en/news/reviews-and-suspensions · dated not found

identifiersSecurity and entity identifier conventions and validation sourcesnot found
isin_prefixISIN prefix information and its limits as a jurisdiction indicator
prefix
CA
example
CA0089117034 (Air Canada Inc - Class A Shares)
designation_rules
equity_issues
the country where the entity is incorporated
domestic_debt_issues
the country where the lead manager is located
international_debt_issues
the country where the Central Securities Depository is located
local_identifier
A CUSIP or CINS identifier will always appear in positions 3-11 of a CGS ISIN.

source https://www.cusip.com/identifiers.html · dated January 1, 2025

lei_requirementsLegal Entity Identifier requirements and authoritative lookup referencesLEI = 20-character ISO 17442 code issued by GLEIF-accredited LEI Issuers (Local Operating Units); searchable in the Global LEI Index. No Canada-specific LEI issuer or requirement read on an official page

source https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei · dated not found

settlementSettlement cycles by instrument and venue, exceptions and transition datesnot found
clearing_and_custodyClearing, depository, custody and asset-protection frameworks
  • framework
    CDSX, the CDS clearing and depository system
    detail
    ISIN Eligibility service enables eligibility assessment and acceptance of marketable securities within CDSX; ISIN Issuance and Eligibility both required for securities held on deposit with CDS
  • framework
    Dematerialization
    detail
    Since 2017, CDS is no longer accepting physical certificates for new securities issues coming to market.
  • framework
    Qualified custodian requirement (NI 31-103 s.14.5.2)
    detail
    Under paragraph 14.5.2(7)(d), registered firms are not required to ensure that cash or securities of permitted clients, that are not individuals or investment funds, are held with a qualified custodian if the permitted client has acknowledged in writing

source https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services · dated March 1, 2017

corporate_actionsRights, elections, notices and procedural deadlinesnot found
retail_accessRetail distribution limits, access restrictions and safeguards
  • rule
    Permitted client threshold – individuals (paragraph (o))
    detail
    an individual who beneficially owns financial assets with an aggregate realizable value that exceeds $5 million, before taxes but net of any related liabilities
  • rule
    Permitted client threshold – entities (paragraph (q))
    detail
    a person or company that has net assets of at least $25 million, as shown on its last financial statements
  • rule
    Suitability waiver
    detail
    Under section 13.3.1, permitted clients may waive their right to have a registrant determine that a trade is suitable.
  • rule
    Bright-line standards
    detail
    Investors who do not satisfy these thresholds do not qualify as permitted clients under the applicable paragraph.

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1 · dated June 6, 2022

tax_at_sourceWithholding regimes by income, instrument and recipient category; relief conditionsnot found
fees_and_leviesTransaction taxes, statutory levies and relevant charges
  • term
    transaction charge
    definition
    any amount charged to a client by a registered firm in respect of a purchase or sale of a security and includes any federal, provincial or territorial sales taxes paid on that amount
  • term
    operating charge
    definition
    any amount charged to a client by a registered firm in respect of the operation, transfer or termination of a client's account and includes any federal, provincial or territorial sales taxes paid on that amount
  • term
    direct investment fund charge
    definition
    an amount charged to a client if the client buys, holds, sells or switches securities of an investment fund, including any federal, provincial or territorial sales taxes paid on that amount, other than, for greater certainty, an amount included in the investment fund's fund expenses

source https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf · dated January 1, 2026

recordkeepingRetention, evidence, format and reconstruction requirementsnot found
complaints_and_redressComplaint, escalation and redress routesnot found
additional_duty_fieldsFurther sourceable duty-relevant fields, introduced through a versioned catalogue extensionnot found

Appendix B · ACM register section

ACM · ca.acm.v3 · supersedes ca.acm.v2 · produced 2026-10-31T01:29:14Z · signed on the node door

The register revision is incorporated by reference to ACM-68000 (Agent Clearance Manifest) canonical text v1.0 §8.1 and is not redrawn here. These are chapter attachment fields connecting the chapter to that register; they never redefine rule_version, signal meanings or revision internals.

register_revision_refExact immutable revision governed by ACM-68000 §8.1
rule_version
acm-68000/ca/kyp-know-your-product-ni-31-103/r1
path
register/ca/acm-68000-ca-kyp-know-your-product-ni-31-103-r1.json
content_hash
sha256:476d4dbeeeefb2d720f1c46450e6163310bde3e3e834c4bc622345594599b2c3

source https://www.osc.ca/sites/default/files/pdfs/irps/ni_20191003_31-103_reforms-enhance-client-registrant-relationship.pdf · dated October 3, 2019

register_schema_refAuthoritative register-revision schema and its versionACM-68000 canonical text v1.0 §8.1 — a register revision

source https://acm-68000.org/ · dated 2026-10-30

chapter_evidence_refImmutable chapter version and section from which the revision was produced
chapter
ca.chapter.v3
chapter_sha256
sha256:b2235cfcbf7572857ca7a2fbd7e341151d164a0de02ccf24564826a04db586a1
sections
  • family
    ECO
    version
    ca.eco.v2
    field
    duty_map
    sha256
    sha256:7026ac4894453cb9085287e266982806e0e90d25cdfa62ab800a932e592445b9
  • family
    ACM
    version
    ca.acm.v2
    sha256
    sha256:8fba5da32e9d0dc590fc5f03faccbbdec666bb2e7ccc43773a0aad0d0e9c4ddb

source https://mcp.getissuer.ai/mcp · dated 2026-10-31

rule_applicabilityMarket-specific applicability evidence for the referenced revision

source https://fcaa.gov.sk.ca/regulated-businesses-persons/businesses/securities-industry-participants/securities-laws/regulatory-instruments/part-3-registration-and-related-matters/31-registration-requirements/31-103-registration-requirements-exemptions-and-ongoing-registrant-obligations-national-instrument · dated September 28, 2009

shared_revision_refShared-family revisions produced by the apex, where applicablenot found
national_overlay_refSeparately versioned national additions or exceptionsnot found
revision_change_evidenceSources supporting selection or succession of the referenced revision

source https://www.osc.ca/sites/default/files/pdfs/irps/ni_20191003_31-103_reforms-enhance-client-registrant-relationship.pdf · dated October 3, 2019

Appendix C · AIO orderability section

standard AIO-10060 · AI Orderability

AIO · ca.aio.v2 · supersedes ca.aio.v1 · produced 2026-10-31T01:34:51Z · signed on the node door

The chapter describes the source-backed determination framework. A product-specific orderability result requires the product record, the client category, the relevant evidence and the applicable rule revision; this section never manufactures that result from market membership alone. It adds no field to the deployed receipt.

product_scopeProducts and instrument categories covered by the target-market regime
  • scope
    all investment products whether or not they are sold under a prospectus
    requirement
    KYP

source https://docs.mbsecurities.ca/msc/notices/en/102639/1/document.do · dated September 28, 2009

client_categoriesClient classifications and source-backed qualification criteria
  • category
    permitted client (paragraph (o))
    criteria
    an individual who beneficially owns financial assets with an aggregate realizable value that exceeds $5 million, before taxes but net of any related liabilities

source https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf · dated January 1, 2026

target_marketPositive target-market criteria and their applicability
  • criterion
    general investor profiles describing the type of investor for whom a product may be suitable
    applicability
    firms may set out; individual registrants must still determine suitability on each transaction for a client

source https://docs.mbsecurities.ca/msc/notices/en/102639/1/document.do · dated September 28, 2009

negative_target_marketExplicit exclusions or incompatible client characteristicsnot found
distribution_conditionsPermitted distribution methods and constraints
  • distributor
    EMDs
    constraint
    limited to dealing with clients who are eligible to purchase securities under a prospectus exemption

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants · dated January 9, 2014

product_documentationRequired product, risk and target-market documentsnot found
manufacturer_distributor_rolesResponsibilities and information exchange between actors
  • actor
    firm and individual
    responsibility
    The KYP requirement applies to both the firm and the individual.
  • actor
    firm
    responsibility
    have a process for reviewing and approving new products and existing products whose structure or features have significantly changed
  • actor
    registered firms
    responsibility
    cannot recommend a product based solely on information from issuers or other third parties, including related parties, about the product's suitability or risk profile
  • actor
    individual registrants
    responsibility
    must still determine suitability of each proposed transaction for each client; may not delegate their suitability obligations to their client, another registrant or anyone else

source https://docs.mbsecurities.ca/msc/notices/en/102639/1/document.do · dated September 28, 2009

review_triggersRequired review events and periodic review conditions
  • event
    periodic KYC update
    condition
    PMs (and EMDs that have an ongoing relationship with their clients) to update KYC information at least annually and more often if there is a material change in a client's circumstances, or investment needs or objectives
  • event
    SRO suitability determination triggers
    condition
    accepting an order from a client; recommending the purchase, sale, exchange, or holding of a security; securities received into the client's account by deposit or transfer; change in the registered representative or portfolio manager responsible for the account; material change in the client's life circumstances or objectives resulting in revisions to KYC information

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants · dated January 9, 2014

evidence_requirementsEvidence needed to support a scoped outcome
  • outcome
    accredited investor status
    evidence
    Factual representations, such as a representation in a subscription agreement that the client is an AI, will generally not, by themselves, be sufficient for a registrant to satisfy its KYC obligation
  • outcome
    permitted client waiver of KYC and suitability
    evidence
    the registrant must collect adequate information to determine that the client is a permitted client; not sufficient to simply rely on the client's initialling or checking off the box in the permitted client certificate/attestation form
  • outcome
    KYC documentation
    evidence
    recommend that both the client and the registrant that reviewed the KYC information with the client sign and date the information

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants · dated January 9, 2014

exceptionsSource-backed exceptions with conditions and boundaries
  • exception
    permitted clients may waive their right to have a registrant determine that a trade is suitable (section 13.3.1)
    condition
    the registrant must determine that a client is a permitted client at the time the client waives their right to suitability
  • exception
    registrants do not have to provide certain disclosures to permitted clients (sections 13.13 and 14.4)
    condition
    registrants must determine that a client is a permitted client at the time the client opens an account
  • exception
    registrants do not have to provide certain disclosures or reports (sections 14.2, 14.2.1, 14.14.1, 14.14.2, 14.17 and 14.18)
    boundary
    to a permitted client that is not an individual

source https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1 · dated June 6, 2022

orderability_profile_refSchema for the product, market and client-class outcome produced under these rulesnot found

Appendix D · AMP venue section

standard AMP-10060 · Agentic Market Protocol

AMP · ca.amp.v3 · supersedes ca.amp.v2 · produced 2026-10-31T01:44:10Z · signed on the node door

Each venue record is keyed by its evidenced Market Identifier Code (MIC). Where an activity has no applicable code, the gap is preserved with a separately typed reference; no code is invented. This section supplies reference information only; it establishes no entitlement, permission to route or order placement. A later permission profile requires its own actor, instrument, action and endpoint evidence.

venue_mic · XTSE

source https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv · dated 20050627

venue_identityVenue name, operator and authoritative identity evidencenot found
rules_pageAuthoritative venue rule source
title
Toronto Stock Exchange Rule Book
url
https://www.tsx.com/en/resource/1464
effective
September 14, 2026

source https://www.tsx.com/en/resource/1464 · dated Effective September 14, 2026

haltsOfficial halt information and applicability scopenot found
calendarSessions, holidays and exceptional closuresnot found
clearing_houseClearing relationships by instrument and servicenot found
participant_rolesDefined participant categories and responsibilities
  • role
    Participating Organization
    qualification
    must be a member in good standing of a recognized self-regulatory organization that is a participating institution in the Canadian Investor Protection Fund
    responsibilities
    comply with and be bound by Exchange Requirements

source https://www.tsx.com/en/resource/83 · dated 2022-07-23

market_maker_obligationsSource-backed obligations and exemptions for market makersnot found
gatesDocumented entry, membership and access prerequisitesnot found
reference_endpointsPublic reference locations with purpose and sourcenot found
change_noticesVersioned rules changes and operational notices
  • id
    Ops Notice 2026-020
    title
    Change in Settlement Schedule for the Canada Day Holiday
    date
    June 24, 2026
    summary
    All trades on Tuesday June 30, 2026 will be for Special Settlement on Thursday, July 02, 2026.

source https://www.tsx.com/entrading/toronto-stock-exchange/trading-notices/2022-archive?id=1134 · dated June 24, 2026

sourcesAdditional source-backed venue evidencenot found

venue_mic · not found

venue_identityVenue name, operator and authoritative identity evidence
venue_name
TSX Venture Exchange (TSXV)
operator
TMX Group Inc. (TMX)
related_venue
Toronto Stock Exchange (TSX)

source https://www.tsx.com/en/resource/184 · dated 2022-07-23

haltsOfficial halt information and applicability scope
  • type
    Exchange trading halt
    applies_to
    Issuer's Listed Shares
    reasons
    • the Issuer is not in compliance with the terms of its Listing Agreement or Exchange Requirements
    • circumstances exist which, in the opinion of the Exchange, could materially affect the public interest
    source
    TSXV Policy 2.9 Trading Halts, Suspensions and Delisting

source https://www.tsx.com/en/resource/429 · dated as at March 31, 2026

calendarSessions, holidays and exceptional closuresnot found
clearing_houseClearing relationships by instrument and servicenot found
participant_rolesDefined participant categories and responsibilities
  • role
    Members
    responsibility
    Trades are executed through Members and Participating Organizations
  • role
    Participating Organizations
    responsibility
    Trades are executed through Members and Participating Organizations

source https://www.tsx.com/en/resource/429 · dated as at March 31, 2026

market_maker_obligationsSource-backed obligations and exemptions for market makersnot found
settlement_linksRelated market or venue settlement recordsnot found
sourcesAdditional source-backed venue evidence
  • The BC Securities Commission has the statutory power to recognize exchanges, allowing them to operate and setting out the terms and conditions under which they are regulated.

source https://www.bcsc.bc.ca/industry/marketplaces-sros-market-infrastructure/marketplaces/exchanges · dated August 10, 2012

venue_mic · not found

venue_identityVenue name, operator and authoritative identity evidencenot found
haltsOfficial halt information and applicability scopenot found
calendarSessions, holidays and exceptional closuresnot found
clearing_houseClearing relationships by instrument and servicenot found
participant_rolesDefined participant categories and responsibilitiesnot found
market_maker_obligationsSource-backed obligations and exemptions for market makersnot found
gatesDocumented entry, membership and access prerequisites
  • gate
    Trade settlement arrangement
    requirement
    You must settle all of your trades on CSE Marketplaces either by: (i) self-clearing as a participant of CDS in respect of equity and other securities; or (ii) maintaining a clearing and settlement arrangement with a carrying broker, custodian or other institution that is a CDS participant
  • gate
    End User identification
    requirement
    Each End User must be specifically identified on the CSE Connectivity Agreement.
  • gate
    Regulatory compliance
    requirement
    agree that you and your End Users will comply with all orders or directions made by CIRO in its capacity as a regulation services provider

source https://thecse.com/wp-content/uploads/2024/02/CSE-Standard-Trading-Terms.pdf · dated February 13, 2024

reference_endpointsPublic reference locations with purpose and sourcenot found
settlement_linksRelated market or venue settlement records
  • name
    Rule 5 Clearing & Settlement
    date
    May 27, 2024
    venue
    CSE

source https://thecse.com/trading/trading-resources/ · dated May 27, 2024

sourcesAdditional source-backed venue evidencenot found

venue_mic · not found

venue_identityVenue name, operator and authoritative identity evidence
venue_name
Cboe Canada Inc.
short_name
Cboe Canada
authorized_by
Canadian Securities Administrators (the "CSA")
lead_regulator
Ontario Securities Commission (the "OSC")
regulation_services_provider
Canadian Investment Regulatory Organization ("CIRO")

source https://www.cboe.com/ca/equities/regulation/ · dated March 1, 2015

venue_scopeOperating or segment scope, products and jurisdiction bindings
jurisdiction
across Canada
scope
exchange for listing and trading equity and debt securities and certain financial products, including exchange-traded funds, closed-end funds, and structured products

source https://www.cboe.com/ca/equities/regulation/ · dated March 1, 2015

rules_pageAuthoritative venue rule source
rules
the Trading Policies, Listing Manual, and Listing Forms
approved_by
OSC
url
https://www.cboe.com/ca/equities/regulation/

source https://www.cboe.com/ca/equities/regulation/ · dated March 1, 2015

haltsOfficial halt information and applicability scope
  • authority
    CIRO
    description
    CIRO can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company
    purpose
    to ensure a fair and orderly market
    example
    BANK OF MONTREAL, Cboe CA Exchange Symbol NVON, Reason: Dissemination, Halt Time (ET): 11:45AM

source https://www.cboe.com/markets/ca/equities/securities/NVON/news/8505442104080110/ · dated Feb. 3, 2026

clearing_houseClearing relationships by instrument and service
  • clearing_house
    CDS Clearing and Depository Services Inc. ("CDS")
    relationship
    Access to Cboe Canada is open to Canadian registered investment dealers that are participants of CDS or have entered into an arrangement for the clearing and settlement of trades with a participant in CDS

source https://cdn.cboe.com/resources/membership/Cboe_Canada_Sponsored_User_Welcome_Letter-EN.pdf · dated 03/03/2025

participant_rolesDefined participant categories and responsibilities
  • role
    Member
    description
    members of Cboe Canada
  • role
    DEA Client
    description
    eligible direct electronic access clients of Members
  • role
    Sponsoring Member
    description
    Member that provides sponsored access for its designated DEA Clients into Cboe BIDS Canada; at all times responsible for Sponsored User activity
  • role
    Sponsored User
    description
    designated DEA Client with sponsored access to Cboe BIDS Canada; neither a member nor a client of Cboe Canada

source https://cdn.cboe.com/resources/membership/Cboe_Canada_Sponsored_User_Welcome_Letter-EN.pdf · dated 03/03/2025

market_maker_obligationsSource-backed obligations and exemptions for market makersnot found
gatesDocumented entry, membership and access prerequisites
  • gate
    Approved Trader
    description
    an employee of a Member, or an employee of a DEA Client that has been granted access to the Exchange Systems by a Sponsoring Member

source https://cdn.cboe.com/resources/membership/cboe-canada-trading-policies-en.pdf · dated 06/04/2026

reference_endpointsPublic reference locations with purpose and source
  • name
    Cboe Canada Reference Data Files (Daily Distributions, Corporate Actions, Security Master, Closing Price reports)
    purpose
    symbology reference data, corporate action and dividend distribution information for securities listed on Cboe Canada
    delivery
    SFTP or download from our website portal (HTTPS)
    source
    Cboe Canada Guide to Reference Data Files Version 1.0.1

source https://cdn.cboe.com/resources/membership/Cboe_Canada_Reference_Data_Files.pdf · dated December 13, 2024

settlement_linksRelated market or venue settlement records
  • CDS Clearing and Depository Services Inc.

source https://cdn.cboe.com/resources/membership/cboe-canada-trading-policies-en.pdf · dated 06/04/2026

change_noticesVersioned rules changes and operational notices
  • date
    June 8, 2026
    title
    Notice of Commission Amendment of Approval – Custom Fee/Rebate Allocation Model for Unintentional Crosses
  • date
    June 4, 2026
    title
    Notice – Housekeeping Rule Amendment to the Trading Policies – Clean-Up Amendments – Cboe Canada Inc.
  • date
    December 11, 2025
    title
    Notice of Approval – Significant Change and Fee Change – Dedicated Cores – Cboe Canada Inc.
  • date
    October 23, 2025
    title
    Notice – Housekeeping Rule Amendment to the Trading Policies – Net Asset Value Order – Cboe Canada Inc.
  • date
    July 24, 2025
    title
    Notice of Approval – Trading Policies Amendment – Primary Peg – Cboe Canada Inc

source https://www.osc.ca/en/industry/market-regulation/marketplaces/exchanges/recognized-exchanges/neo-exchange-inc-rule-review-notices · dated June 8, 2026

sourcesAdditional source-backed venue evidence
  • fact
    Cboe Canada has retained CIRO to act as its regulation services provider
    source
    Cboe Canada Equities Regulatory And Governance

source https://www.cboe.com/ca/equities/regulation/ · dated March 1, 2015

Appendix E · ESG disclosure section

ESG · ca.esg.v4 · supersedes ca.esg.v3 · produced 2026-10-31T01:44:56Z · signed on the node door

Sustainability disclosure remains a specialised ECO record with its rules in ACM. A jurisdiction's adoption of a framework is distinct from the framework's application to a particular issuer or period; the schema preserves that distinction and never turns disclosure availability into a sustainability rating.

regimeNamed sustainability-disclosure regime and its scopenot found
authorityResponsible issuing or supervisory authoritiesnot found
applicabilityCovered entities, products, thresholds and exemptionsnot found
adoption_stageProposal, adoption, commencement and transitional operation, distinguishednot found
effective_datesEffective intervals and staged commencement conditionsnot found
disclosure_dutiesRequired disclosures, reporting periods and filing obligationsnot found
taxonomyClassification frameworks, criteria and binding statusnot found
climate_requirementsSource-backed climate disclosure requirements and scopenot found
assuranceRequired assurance, qualifications and transition conditionsnot found
filing_store_and_formatAuthoritative destination and required filing formatnot found
interoperabilityRecognised equivalence, mapping or substituted-compliance provisionsnot found
rule_revision_refApplicable immutable ACM disclosure-rule revisionsnot found
sourcesSupporting regime and disclosure evidencenot found