Table of Contents
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Part 1 Definitions and Interpretation |
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1.1 Definitions |
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1.2 Interpretation |
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Part 2 – Abusive Trading |
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2.1 Just and Equitable Principles |
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2.2 Manipulative and Deceptive Activities |
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2.3 Improper Orders and Trades |
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Part 3 Short Selling |
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3.1 Restrictions on Short Selling - repealed |
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3.2 Prohibition on the Entry of Orders |
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Part 4 Frontrunning |
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4.1 Frontrunning |
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Part 5 Best Execution Obligation |
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5.1 Best Execution of Client Orders |
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5.2 Best Price Obligation - repealed |
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5.3 Client Priority |
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Part 6 Order Entry and Exposure |
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6.1 Entry of Orders to a Marketplace |
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6.2 Designations and Identifiers |
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6.3 Exposure of Client Orders |
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6.4 Trades to be on a Marketplace
6.5 Minimum Size Requirements of Certain Orders Entered on a Marketplace
6.6 Provision of Price Improvement by a Dark Order |
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Part 7 Trading in a Marketplace |
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7.1 Trading Supervision Obligations |
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7.2 Proficiency Obligations |
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7.3 Liability for Bids, Offers and Trades |
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7.4 Contract Record and Official Transaction Record |
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7.5 Recorded Prices |
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7.6 Cancelled Trades |
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7.7 Trading During Certain Securities Transactions |
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7.8 Restrictions on Trading During a Securities Exchange Take-over Bid |
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7.9 Trading in Listed or Quoted Securities by a Derivatives Market Maker |
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7.10 Extended Failed Trades |
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7.11 Variation and Cancellation of Trades
7.12 Inability to Rely on Marketplace Functionality
7.13 Routing Arrangements - proposed
7.14 Direct Electronic Access - proposed |
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Part 8 Principal Trading |
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8.1 Client-Principal Trading |
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Part 9 Trading Halts, Delays and Suspensions |
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9.1 Regulatory Halts, Delays and Suspensions of Trading |
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Part 10 Compliance |
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10.1 Compliance Requirement |
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10.2 Investigations |
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10.3 Extension of Responsibility |
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10.4 Extension of Restrictions |
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10.5 Powers and Remedies |
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10.6 Exercise of Authority |
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10.7 Assessment of Expenses |
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10.8 Practice and Procedure |
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10.9 Power of Market Integrity Officials |
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10.10 Report of Short Positions |
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10.11 Audit Trail Requirements |
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10.12 Retention and Inspection of Records and Instructions |
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10.13 Exchange and Provision of Information by Market Regulators |
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10.14 Synchronization of Clocks |
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10.15 Assignment of Identifiers and Symbols |
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10.16 Gatekeeper Obligations of Directors, Officers and Employees of Participants and Access Persons |
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10.17 Gatekeeper Obligations with Respect to Electronic Access
10.18 Gatekeeper Obligations with Respect to Access to Marketplaces – proposed |
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Part 11 Administration of UMIR |
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11.1 General Exemptive Relief |
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11.2 General Prescriptive Power |
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11.3 Review of Appeal of Market Regulator Decisions |
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11.4 Method of Giving Notice |
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11.5 Computation of Time |
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11.6 Waiver of Notice |
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11.7 Omissions or Errors in Giving Notice |
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11.8 Transitional Provisions |
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11.9 Non-Application of UMIR |
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11.10 Indemnification and Limited Liability of the Market Regulator |
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11.11 Status of UMIR and Policies |
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Full text version of UMIR |
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Filing Status |
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Status of Amendments |