Regulatory Documents

Credit Risk Assessment

Acceptable Institutions / Acceptable Counterparties Database

List of approved inter-dealer bond brokers

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

List of Basel Accord countries

Acceptable Securities Locations

List of financial institutions / entities / mutual funds with signed custodial agreement (pdf)

List of acceptable clearing corporations and acceptable securities locations (depositories and clearing agencies)

List of entities considered suitable to hold LBMA gold and silver good delivery bars

Margin Rate

Securities listed on Canada and U.S. exchanges eligible for margin

List of securities eligible for reduced margin (LSERM)

List of foreign market indices whose constituent securities are eligible for margin

List of floating and tracking error margin rates for qualifying Canadian and U.S. index products

List of foreign exchange (FX) spot risk margin rates for Canadian and U.S. base currency accounts

Foreign currency groups

Trade Matching

List of acceptable trade matching utilities for broker-to-broker trade matching

Agreements

Bank of Canada – Term purchase and resale agreement

Limited recourse call loan agreement

Cross guarantee (related companies)

Custodial agreement (general)

Custodial agreement (NCI)

Type 1 Introducing broker

Type 2 Introducing broker

Type 3 Introducing broker

Type 4 Introducing broker

Subordinated loan agreement

Securities loan (with set-off)

Securities loan (no set-off)

Repurchase/reverse repurchase

Mutual fund bare trustee agreement

New issue loan master agreement