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For Registrants

Sign up for BCSC’s new e-mail subscription services to receive immediate notice of policy publications, news and events.

Registration requirements

  • NI 31-103 Registration Requirements and Exemptions 
  • NI 33-109 Registration Information
  • MI 11-102 Passport System
  • CSA Staff Notice 31-326 Outside Business Activities
  • NI 45-106 Prospectus and Registration Exemptions - For financial years beginning on or after January 1, 2011
  • BCI 32-513 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
  • BCI 32-517 Exemption from Dealer Registration Requirements for Trades in Securities of Mortgage Investment Entities
  • Policies & instruments about registration requirements and related matters 

About compliance

  • BCSC Registrant Outreach program 
  • Compliance Toolkit 
  • Learn about industry-wide compliance performance: 2012 Compliance Report Card PDF 

Suitability

  • CSA Staff Notice 33-315 Suitability Obligation and Know Your Product 

Exemptions

  • Apply for an exemption order using e-services
  • Exemption Application Process 
  • Prospectus Exemptions for Registrants
    • Private and Early Stage Businesses - Prospectus exemption information for Issuers 

Suppression of Terrorism and UN Sanctions Act Report

  • Monthly Reporting on Suppression of Terrorism and United Nations Act Sanctions
  • Monthly Suppression of Terrorism and UN Sanctions Report New window 
  • Canadian securities regulators help in tracking down terrorist money, October 22, 2001
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