CANADIAN SECURITIES ADMINISTRATORS’ STAFF NOTICE 24-304 CSA-Industry Working Group on National Instrument 24-101 – Institutional Trade Matching and Settlement A CSA-Industry working group (Working Group) consisting of industry representatives and staff of the Canadian Securities Administrators (CSA) has recently been established to act as an advisory group for the CSA in identifying and resolving issues in relation to National Instrument 24-101 – Institutional Trade Matching and Settlement (NI 24-101). The Working Group will meet periodically to discuss the issues. Members of the Working Group The Working Group includes representatives of the industry’s sell-side, buy-side and custodian sectors and representatives of the Canadian Capital Markets Association (CCMA), Investment Industry Association of Canada (IIAC), Investment Dealers Association of Canada (IDA) and CDS Clearing and Depository Services Inc. (CDS). The following is a list of the Working Group members: Sector or Name and Firm Email address Industry Group Representation Barbara Amsden (IIAC) bamsden@iiac.ca IIAC Jerry Beniuk (TDBFG) Jerry.Beniuk@td.com Buy side/Sell side/Custodian Brian Calvert (RBC Investments) brian.calvert@rbcinvestments.c Sell side om Richard Corner (IDA) rcorner@ida.ca IDA Jane Davis (CCMA) JDavis@cds.ca CCMA Aaron Ferguson (CDS) AFerguson@cds.ca CDS Lynn Higgins (Canaccord) Lynn_higgins@canaccord.com Sell side Heidi Johnston (Phillips Hager North) hjohnston@phn.com Buy side Patricia Johnston (FirstEnergy Capital pmjohnston@firstenergy.com Sell side Corp.) Glenn MacPherson (CCMA) GMacPherson@cds.ca CCMA Fionnuala Martin (BMO Financial Fionnuala.martin@bmonb.com Sell side Group) Chuck Murray (Mackenzie Financial cmurray@mackenziefinancial.c Buy side Corporation) om Wayne Ralph (Canadian Imperial Bank Wayne.Ralph@CIBC.ca Sell side of Commerce) Answerd Ramcharan (IDA) aramcharan@ida.ca IDA Randy Reid (CIBC Mellon) randy_reid@cibcmellon.com Custodian Lorne Rintoul (Scotia Capital) Lorne_rintoul@scotiacapital.co Sell side m Jesus Sanchez (NBCN Inc.) Jesus.sanchez@nbcn.ca Sell side
Sector or Name and Firm Email address Industry Group Representation Domenic Sgambelluri (Northern Trust DS124@ntrs.com Custodian Co., Canada) Barry Stienstra (RBC Dexia Investor barry.stienstra@rbcdexia- Custodian Services) is.com Pierre Tremblay (Caisse Centrale Pierre.tremblay@ccd.desjardin Buy side Desjardins) s.com Jenny Tsouvalis (OMERS) Jtsouvalis@omers.com Buy side Mark Weseluck (CDS) mweseluck@cds.ca CDS CSA STP Committee Staff Serge Boisvert Serge.boisvert@lautorite.qc.ca AMF Shaun Fluker Shaun.fluker@seccom.ab.ca ASC Nathalie Gallant Nathalie.gallant@lautorite.qc.c AMF a John Kearns jkearns@osc.gov.on.ca OSC Janice Leung jleung@bcsc.bc.ca BCSC Maxime Paré mpare@osc.gov.on.ca OSC Michael Sorbo msorbo@bcsc.bc.ca BCSC Emily Sutlic esutlic@osc.gov.on.ca OSC You are invited to raise issues or questions you may have regarding NI 24-101 with any member of the Working Group. CSA staff propose to publish later this year a notice that will answer a number of key questions on NI 24-101. Please refer questions about CSA Staff Notice 24-304 to: Maxime Paré Senior Legal Counsel, Market Regulation Ontario Securities Commission (416) 593-3650 mpare@osc.gov.on.ca Emily Sutlic Legal Counsel, Market Regulation Ontario Securities Commission (416) 593-2362 esutlic@osc.gov.on.ca July 6, 2007 2
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