List of regulators and self-regulatory organizations with adequate dealer regulatory oversight

This list is published from time to time and identifies the regulators and self-regulatory organizations whose members meet the definition of a “regulated entity” in the general notes and definitions to Investment Dealer Form 1. A regulated entity is a counterparty with whom an Investment Dealer Member may deal with on a value for value basis, with mark to market imposed on the outstanding transactions.

List of regulators and self-regulatory organizations with adequate dealer regulatory oversight - Attachment (PDF)