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Canadian Derivatives Exchange*

Rules of Bourse de Montréal

Bourse de Montréal has modernized and reorganized its Rules and Procedures. The new version of the Rules attached below is effective as of January 1st, 2019 and incorporates all current Rules and Procedures of the Bourse de Montréal as well as Policy C-1.

The following Policies remain in full force and effect, without change, after January 1st, 2019.

Policies

Last update Number Title
2003-01-01 P-C02 Policy C-2 - Minimum Standards for Retail Accounts Supervision
2016-01-14 P-C03 Policy C-3 - Joint Regulatory Financial Questionnaire and Report
2003-05-08 P-C04 Policy C-4 - Establishing and Maintaining Adequate Internal Controls
2003-01-01 P-C10 Policy C-10 - Internal Control Policy : Pricing of Securities
2003-01-01 P-C11 Policy C-11 - Internal Control Policy on Derivative Risk Management
2003-01-01 P-C12 Policy C-12 - Minimum Requirements for Suitability Relief Concerning Trades not Recommended by an Approved Participant
2003-11-21 P-C13 Policy C-13 - Responsibilities of the Chief Compliance Officer and Ultimate Designated Person
2003-03-26 P-C15 Electronic Delivery of Documents
2008-03-18 P-F1 Policy F-1 - Continuing Education Program
2008-03-18 P-F2 Policy F-2 - Proficiency Requirements
2008-03-18 P-F3 Policy F-3 - Required Conditions for Granting an Exemption to a Course or an Examination of the Industry
2008-03-18 P-F4 Policy F-4 - Professional Training Requirements
2015-07-17 P-T1 Policy T-1 - Specialist/Market-Maker Trading Policy
2014-07-28 P-T3 Policy T-3 - Circuit Breaker
2015-07-17 P-T4 Policy T-4 - Futures Options : Market-Maker Policy

The following Rules and Policies will remain in full force and effect until December 31, 2018, end of Trading Day.

Rules – Effective until December 31, 2018

Last update Number Title
2018-10-05 R-01 Rule One - Regulations of the Bourse
2017-12-01 R-02 Rule Two - Liability and Related Matters
2018-07-11 R-03 Rule Three - Approved Participants
2018-07-19 R-04 Rule Four - Investigations, Discipline and Appeals
2018-01-17 R-05 Rule Five - Miscellaneous Rules
2018-12-14 R-06 Rule Six- Trading
2018-07-11 R-07 Rule Seven - Operations of Approved participants
2018-09-14 R-08 Rule Eight - Advertising and Communications
2018-09-14 R-09 Rule Nine - Margin and Capital Requirements for Options, Futures Contracts and other Derivative Instruments
2008-03-04 R-10 Rule Ten - Settlements - Securities
2008-03-04 R-11 Rule Eleven - Options Accounts Management
2018-10-05 R-14 Rule Fourteen - Derivative Instruments - Miscellaneous Rules
2018-10-05 R-15 Rule Fifteen - Futures Contracts Specifications
2015-05-21 Div-R Rules Regarding the Regulatory Division
2015-05-21 Div-SC Rules Regarding the Special Committee - Regulatory Division

Policy C-1 – Effective until December 31, 2018

Last update Number Title
2015-05-15 P-C01 Policy C-1 - Requests for Exemption to Position Limits for Bona Fide Hedgers