For Registrants

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

Registration requirements

• Securities Act, Part 5 - Registration  
• Securities Rules, Part 5 - Registration 
• National Instrument 31-103 Registration Requirements and Exemptions 
• Policies & instruments about registration requirements and related matters 

About compliance

• BCSC Outreach program for Chief Compliance Officers 
• Understanding your compliance examination
• Learn about industry-wide compliance performance: 2009 Examinations Report Card  

Suitability

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

Exemptions

• Apply for an exemption order using e-services
• Questions & answers about exemptions  

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  
• Canadian securities regulators help in tracking down terrorist money, October 22, 2001
• Letter to registrants