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Updates for the week ending December 8, 2017

Instruments & Policies

  • 31-103 - Adoption of amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information and related policies

    The amendments come into force on December 4, 2017, other custody-related amendments, which come into force on June 4, 2018. They promote stronger investor protection, clarify certain regulatory requirements, and enhance certain market efficiencies.

  • 31-351 - Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with requirements regarding the Ombudsman for Banking Services and Investment 

    On December 7, 2017, the Canadian Securities Administrators (CSA) published Joint CSA Staff Notice 31-351 Complying with requirements regarding the Ombudsman for Banking Services and Investment with IIROC and the MFDA. Joint CSA Staff Notice 31-351 relates to registered firms' complaint handling systems and firms' participation in OBSI's services.

  • 11-337 - CSA Staff Notice 11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick

    This Notice identifies the relevant local amendments to national or multilateral rules and policies that affect activity in some CSA jurisdictions other than BC.

News

  • News release 2017/91 - Canadian Securities Administrators 2017 Investor Index: Canadian investors show increasing optimism about their economic future, but significant investor education needs remain
  • News release 2017/92 - Canadian securities regulators publish notice on complying with requirements regarding the Ombudsman for Banking Services and Investments

Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies

Events

  • No new events

Decisions, Settlements, Hearings & Temporary Orders

  • No new documents

Cease Trade Orders & Revocations

Exemptions Orders