BCSC operations during COVID-19 outbreak: Click here.

31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Sign-up for updates about BCSC Policy Publications.

View History

Document Published Effective Format
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI] 2019-06-12 2019-06-12
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 ---
31-103 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 ---
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 ---
31-338 Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization [CSA Staff Notice] 2014-05-01 ---
[+] Show All

Advance Notices

Document Published Effective Format
31-103 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] 2019-10-03 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice] 2019-10-03 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice] 2019-10-03 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Blackline Amendment Advance Notice] 2019-10-03 ---

Proposed Amendments

Document Published Comments Close Format
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Proposed Amendment] 2020-03-05 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed] 2020-03-05 ---
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients [CSA Notice and Request for Comment] 2020-03-05 2020-07-20
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed] 2020-03-05 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed] 2019-03-15 ---
[+] Show All