BCN 2009/12 - Advance Notice of National Instrument 31-103 Registration Requirements and Exemptions,Companion Policy 31-103CP Registration Requirement and Exemptions,BC Interpretation Note XX, and BC Instrument 33-5xx and its companion policy, and consequential amendments to national and local instruments [BCN - Lapsed]
Published Date: | 2009-07-17 |
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Rescinded Date: | 2012-07-13 |
Document(s): | |
Related Document(s): |
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Concurrently Published:
- 22-502 - Registration by the Investment Industry Regulatory Organization of Canada [BCI Amendment Advance Notice - Lapsed]
- 31-102 - National Registration Database [NI Amendment Advance Notice - Lapsed]
- 31-102CP - National Registration Database [CP Blackline Amendment Advance Notice - Lapsed]
- 31-103 - Registration Requirements and Exemptions [NI Advance Notice - Lapsed]
- 31-103CP - Registration Requirements and Exemptions [CP Advance Notice - Lapsed]
- 31-103F1 - Calculation of Excess Working Capital [F Advance Notice - Lapsed]
- 31-103F2 - Submission to Jurisdiction and Appointment of Agent for Service [F Advance Notice - Lapsed]
- 31-103F3 - Use of Mobility Exemption [F Advance Notice - Lapsed]
- 31-601 - Registration Requirements [BCP Amendment Advance Notice - Lapsed]
- 32-503 - Registration Exemption for Approved Persons of the Mutual Funds Dealers Association of Canada [BCI Amendment Advance Notice - Lapsed]
- 33-109 - Registration Information [NI Amendment Advance Notice - Lapsed]
- 33-109CP - Registration Information [CP Amendment Advance Notice - Lapsed]
- 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
- 33-109F2 - Change or Surrender of Individual Categories [F Amendment Advance Notice - Lapsed]
- 33-109F3 - Business Locations other than Head Office [F Amendment Advance Notice - Lapsed]
- 33-109F4 - Registration of Individuals and Review of Permitted Individuals [F Amendment Advance Notice - Lapsed]
- 33-109F5 - Change of Registration Information [F Amendment Advance Notice - Lapsed]
- 33-109F6 - Firm Registration [F Amendment Advance Notice - Lapsed]
- 33-109F7 - Notice of Reinstatement of Registered Individuals and Permitted Individuals [F Amendment Advance Notice - Lapsed]
- 33-506 - Exemption from cold calling restrictions for registered dealers [BCI Amendment Advance Notice - Lapsed]
- 33-512 - Exemption for Foreign Advisers from the NRD Account Requirements [BCI Amendment Advance Notice - Lapsed]
- 33-513 - Exemption from financial statement, capital and bonding requirements for MFDA Members [BCI Amendment Advance Notice - Lapsed]
- 33-514 - Exemption from capital, bonding and financial reporting requirements for certain portfolio managers and investment counsel [BCI Amendment Advance Notice - Lapsed]
- 33-515 - Exemption from financial statement, capital and bonding requirements for IDA members [BCI Amendment Advance Notice - Lapsed]
- 45-501 - Mortgages [BCI Amendment Advance Notice - Lapsed]
- 45-512 - Real Estate Securities [BCI Amendment Advance Notice - Lapsed]
- 45-514 - The Employee Investment Act [BCI Amendment Advance Notice - Lapsed]
Introduction
The Canadian Securities Administrators have approved National Instrument 31-103 Registration Requirements and Exemptions, Companion Policy 31-103CP Registration Requirements and Exemptions (together, the national rule), and consequential amendments to national and multilateral instruments. Subject to Ministerial approval requirements, the National Rule will come into force on September 28, 2009 (the implementation date).
In addition, the British Columbia Securities Commission has approved BC Instrument 33-5xx and its companion policy, consequential amendments to local instruments and a related interpretation notice (BCIN).
We published the national rule for comment on February 20, 2007. We published it again on February 29, 2008, along with proposed national, multilateral and local consequential amendments.
Please refer to CSA Notice Notice of National Instrument 31-103 Registration Requirements dated July 17, 2009, which gives an overview of the national rule and national and multilateral consequential amendments. Appendix B to the CSA Notice describes the significant changes to those documents since the second publication. This notice describes BC Instrument 33-5xx the local consequential amendments (including significant changes to those amendments since the second publication) and the related BCIN.