Securities Law

31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Document Published Effective
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
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2023-09-13 2023-09-13
31-103 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions Updated as of February 5, 2010 [CSA Staff Notice]
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2010-02-05 0001-01-01
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP]
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2022-06-06 2022-06-06

Advance Notices

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31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Annex I]
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2021-12-16 2022-06-06
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice - Annex C]
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2021-07-15 2021-12-31
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Advance Notice - Annex D]
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2021-07-15 2021-12-31
31-103 National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients [CSA Advance Notice]
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2021-07-15 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Annex J]
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2021-12-16 2022-06-06
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Advance Notice - Annex E]
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2021-07-15 2021-12-31
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Forms

Document Published Effective
31-103F1 Calculation of Excess Working Capital [F]
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2023-09-13 2023-09-13
31-103F1 Calculation of Excess Working Capital [F]
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2018-06-12 2018-06-12
31-103F2 Submission to Jurisdiction and Appointment of Agent for Service [F]
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2015-01-11 2015-01-11
31-103F3 Use of Mobility Exemption [F]
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2015-01-11 2015-01-11
31-103F4 Net Asset Value Adjustments [F]
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2015-01-11 2015-01-11

Proposed Amendments

Document Published Effective
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Annex C - NI Amendment Proposed]
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2023-04-20 2026-01-01
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed]
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2023-04-20 2026-01-01
31-103 CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance and 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 Total Cost Reporting (TCR) for Investment Funds and Segregated Funds [CSA and CCIR Joint Notice of Publication]
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2023-04-20 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [Annex E - CP Blackline Amendment Proposed]
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2023-04-20 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Annex D - NI Blackline Amendment Proposed]
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2023-04-20 ---
31-103 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 and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance Total Cost Reporting for Investment Funds and Segregated Funds [CSA and CCIR Joint Notice and Request for Comment]
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2022-04-28 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Annex E - NI Blackline Amendment Proposed]
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2022-04-28 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [Annex D - CP Amendment Proposed]
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2022-04-28 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Annex C - NI Amendment Proposed]
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2022-04-28 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [Annex F - CP Blackline Amendment Proposed]
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2022-04-28 ---
31-103CP Registration Requirements Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed]
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2021-02-04 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Proposed]
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2021-02-04 ---
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]
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2020-03-05 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Proposed Amendment]
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2020-03-05 ---
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Blackline Amendment Proposed]
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2020-03-05 ---
31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP Amendment Proposed]
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2020-03-05 ---
31-103 Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI Amendment Advance Notice]
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2019-03-14 2019-06-12
31-103 Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments
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2018-10-25 ---
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]
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2018-06-21 ---
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CSA Related Documents

Document Published Effective
11-329 Withdrawal of Notices and Revocation of Omnibus/Blanket Orders [CSA Staff Notice]
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2015-07-16 ---
31-103 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions Updated as of February 5, 2010 [CSA Staff Notice]
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2010-02-05 0001-01-01
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers [CSA Staff Notice]
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2013-01-17 ---
31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations [CSA Staff Notice]
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2014-01-09 ---
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]
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2014-05-01 ---
31-343 Conflicts of Interest in Distributing Securities of Related or Connected Issuers [CSA Staff Notice]
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2015-11-19 ---
31-344 OBSI Joint Regulators Committee Annual Report for 2015 [CSA Staff Notice - Rescinded]
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2016-04-07 ---
33-315 Suitability Obligation and Know Your Product [CSA Staff Notice]
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2009-09-02 2009-09-02
33-316 Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients [CSA Staff Notice]
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2013-12-17 ---
81-330 Status Report on Consultation on Embedded Commissions and Next Steps [CSA Staff Notice]
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2018-06-21 ---
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