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31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

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View History

Document Published Effective Format
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI] 2018-06-12 2018-06-12
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP] 2017-12-04 2017-12-04

Forms

Document Published Effective Format
31-103F1 Calculation of Excess Working Capital [F] 2018-06-12 2018-06-12
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F] 2015-01-11 2015-01-11
31-103F3 Use of Mobility Exemption [F] 2015-01-11 2015-01-11
31-103F4 Net Asset Value Adjustments [F] 2015-01-11 2015-01-11

CSA Related Documents

Document Published Effective Format
81-330 Status Report on Consultation on Embedded Commissions and Next Steps [CSA Staff Notice] 2018-06-21 ---
31-344 OBSI Joint Regulators Committee Annual Report for 2015 [CSA Staff Notice] 2016-04-07 ---
31-343 Conflicts of Interest in Distributing Securities of Related or Connected Issuers [CSA Staff Notice] 2015-11-19 ---
11-329 Withdrawal of Notices and Revocation of Omnibus/Blanket Orders [CSA Staff Notice] 2015-07-16 ---
31-340 OBSI Joint Regulators Committee Annual Report for 2014 [CSA Staff Notice] 2015-03-19 ---
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Proposed Amendments

Document Published Comments Close Format
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments 2018-10-25 2018-12-24
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2018-09-13 ---
31-103 CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms) [CSA Notice] 2018-06-21 2018-10-19
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2018-03-08 ---