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MSC STAFF NOTICE 2014-25 MEMORANDUM OF UNDERSTANDING ABOUT THE OVERSIGHT OF EXCHANGES AND QUOTATION TRADE REPORTING SYSTEMS The Manitoba Securities Commission, along with certain other Canadian securities regulators published a Memorandum of Understanding (MOU) with respect to the coordination of regulation and oversight of Exchanges and Quotation Trade Reporting Systems (QTRS) in Canada (MSC Staff Notice 2009-42). The MOU sets out a process for the coordinated oversight and regulation of various Exchanges and QTRSs in Canada. Attached to this Notice is the revised list of Exchanges, Lead Regulators and Exempting Regulators as of July 1, 2014. July 3, 2014 Contact: Paula White Manager Compliance and Oversight Paula.white@gov.mb.ca 204-945-5195
List of Exchanges, Lead Regulators and Exempting Regulators in relation to the Memorandum of Understanding respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems As of July 1, 2014 Exchange QTRS Lead Regulator(s) Alpha Exchange Inc. Ontario Securities Commission Bourse de Montréal Inc. Autorité des marchés financiers CNSX Markets Inc. Ontario Securities Commission ICE Futures Canada Inc. Manitoba Securities * Pursuant to a recognition order dated May 30, 2013 ASC recognized as an exchange ICE Futures Canada Inc. and acknowledged in section 2 of the order that Under a MOU respecting the oversight of exchanges and QTRS among the ASC, AMF, BCSC, MSC, OSC and FCCA, the MSC has been designated as the lead regulator for ICE Futures Canada, Inc.”. For the purpose of this MOU, the ASC will be considered an Exempting Regulator and has the rights of an Exempting Regulator under this MOU. Exempting Regulator(s) Alberta Securities Commission Autorité des marchés financiers British Columbia Securities Commission Manitoba Securities Commission Saskatchewan Financial Services Commission Ontario Securities Commission Alberta Securities Commission Autorité des marchés financiers British Columbia Securities Commission Manitoba Securities Commission Alberta Securities Commission *
List of Exchanges, Lead Regulators and Exempting Regulators in relation to the Memorandum of Understanding respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems As of July 1, 2014 Exchange QTRS Lead Regulator(s) Commission Natural Gas Exchange Inc. Alberta Securities Commission TSX Inc. Ontario Securities Commission TSX Venture Exchange Inc. Alberta Securities Commission British Columbia Securities Commission Exempting Regulator(s) Autorité des marchés financiers Ontario Securities Commission Autorité des marchés financiers Manitoba Securities Commission Ontario Securities Commission Saskatchewan Financial Services Commission Alberta Securities Commission Autorité des marchés financiers British Columbia Securities Commission Autorité des marchés financiers Manitoba Securities Commission Ontario Securities Commission
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