List of foreign derivatives firms exempt under sections 39 or 46 of NI 93-101

National Instrument 93-101 Derivatives: Business Conduct provides exemptions for foreign derivatives dealers (section 39) and foreign derivatives advisers (section 46). Foreign derivatives dealers or foreign derivatives advisers relying on these exemptions are required to submit Form 93-101F1 Submission to Jurisdiction and Appointment of Agent for Service of Process.

The list of foreign derivatives firms relying on these exemptions can be found below:

Note: This list does not reflect all the exemptions that may be available to a foreign derivatives firm for its transactions with a derivatives party. These include, but are not limited to, the following exemptions:

• section 37 [foreign liquidity providers – transactions with derivatives dealers],
• section 44 [certain notional amounts of certain commodity derivatives and other derivatives activity] and
• section 47 [foreign derivatives sub-advisers].

There are no form filing requirements for relying on these exemptions.