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31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations

Category: 3 - Registration Requirements and Related Matters
Status:

Current Instruments:

No Document Type Publication Date
31-103 National Instrument (Consolidated up to 13 September 2023) National Instrument
31-103 Companion Policy (Consolidated up to 6 June 2022) Companion Policy

Related Documents:

No Document Type Publication Date
31-930 Coordinated Blanket Order 31-930 Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus Blanket Order
31-363 Joint CSA and CIRO Staff Notice 31-363 – Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance CSA Notice
81-336 CSA Staff Notice 81-336 - Guidance on Crypto Asset Investment Funds that are Reporting Issuers CSA Notice
14-101 CSA Notice of Amendments to National Instrument 14-101 Definitions and Consequential Amendments CSA Notice
81-105 Multilateral CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices CSA Notice
14-101 CSA Notice and Request for Comment – Proposed Amendments to NI 14-101 Definitions and Consequential Amendments CSA Notice
45-328 CSA Staff Notice 45-328 - Update on Amendments relating to Syndicated Mortgages CSA Notice
31-358 CSA Staff Notice 31-358 Guidance on Registration Requirements for CCOs and Request for Comments CSA Notice
31-534 Blanket Order 31-534 - Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants with Deadlines During the Period from 2 June to 30 September 2020 Blanket Order
31-533 Blanket Order 31-533 - Relief in Respect of Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Blanket Order
31-532 Blanket Order 31-532 - Relief in Respect of Client Focused Reforms Conflict of Interest Provisions of NI 31-103 Blanket Order
31-357 CSA Staff Notice 31-357 - Blanket Orders / Class Orders in Respect of Certain Client Focused Reforms Provisions of NI 31-103 CSA Notice
31-531 Blanket Order 31-531 – Temporary Exemption from Certain Financial Statements and Information Delivery Requirements for Registrants Blanket Order
21-507 Blanket Order 21-507 – Temporary Exemption from Certain Reporting Requirements for Regulated Entities Carrying on Business in New Brunswick Blanket Order
45-326 CSA Staff Notice 45-326 relating to Syndicated Mortgages CSA Notice
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 Investments CSA Notice
31-350 CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations CSA Notice
11-335 CSA Staff Notice 11-335 Notice of Local Amendments and Changes in Certain Jurisdictions CSA Notice
31-348 CSA Staff Notice 31-348 OBSI Joint Regulators Committee Annual Report for 2016 CSA Notice
11-334 CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions CSA Notice
11-328 CSA Staff Notice 11-328 Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon CSA Notice
31-529 Blanket Order 31-529 - Exemption from the Registration Requirement in NI 31-103 for Trades in Short-Term Debt Instruments Blanket Order
31-339 CSA Staff Notice 31-339 Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of NI 31-103 CSA Notice
31-336 CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations CSA Notice
25-401 CSA Consultation Paper 25-401 - Potential Regulation of Proxy Advisory Firms CSA Consultation Paper
31-329 CSA Staff Notice 31-329 - Omnibus/blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions CSA Notice
31-328 CSA Staff Notice 31-328 - Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Notice
31-327 CSA Staff Notice 31-327 - Broker-Dealer Registration in the Exempt Market Dealer Category CSA Notice
31-326 CSA Staff Notice 31-326 - Outside Business Activities CSA Notice
31-324 CSA Staff Notice 31-324 - Exempt market dealers and account statement requirements in NI31-103 Registration Requirements and Exemptions CSA Notice
31-323 CSA Staff Notice 31-323 - Guidance Relating to the Registration Obligations of Mortgage Investment Entities CSA Notice
31-315 CSA Staff Notice 31-315 - Omnibus / blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements and Exemptions CSA Notice
31-314 CSA Staff Notice 31-314 – NI 31-103 Registration Requirements and Exemptions and Related Instruments – FAQS as of February 5, 2010 CSA Notice
31-313 CSA Staff Notice 31-313 - NI 31-103 Registration Requirements and Exemptions and Related Instruments - FAQS as of 18 December 2009 CSA Notice
31-312 CSA Staff Notice 31-312 - The Exempt Market Dealer Category Under NI 31-103 Registration Requirements and Exemptions CSA Notice
31-311 CSA Staff Notice 31-311 - Proposed NI 31-103 Registration Requirements and Exemptions - Transition into the New Registration Regime CSA Notice
31-310 CSA Staff Notice 31-310 - Proposed NI 31-103 Registration Requirements CSA Notice
31-309 CSA Staff Notice 31-309 - Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements CSA Notice
The Financial Services OmbudsNetwork - A Framework for Collaboration CSA Consultation Paper

History:

No Document Type Publication Date
31-103 CSA Notice and Request for Comment – Proposed Amendments and Changes to address the Principal Distributor Model for Mutual Funds CSA Notice
31-103 CSA Notice and Request for Comment – Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service CSA Notice
31-103 Amendments to NI 31-103 Amendments to Instrument
31-103 Ministerial Consent Ministerial Consent
31-103 CSA and CCIR Notice of Publication – CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance and Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Notice
31-103 National Instrument (Consolidated up to 6 June 2022) National Instrument
31-103 Amendments to NI 31-103 Amendments to Instrument
31-103 Changes to Companion Policy 31-103CP Changes to Companion Policy
31-103 Companion Policy (Consolidated up to 1 June 2022) Companion Policy
31-103 National Instrument (Consolidated up to 1 June 2022) National Instrument
31-103 Local Amendments to NI 31-103 Amendments to Instrument
31-103 Local Changes to Companion Policy 31-103CP Changes to Companion Policy
31-103 CSA and CCIR Joint Notice and Request for Comment-Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and changes to it’s Companion Policy 31-103CP CSA Notice
31-103 Ministerial Consent Ministerial Consent
31-103 Ministerial Consent Ministerial Consent
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 National Instrument (Consolidated up 5 January 2022) National Instrument
31-103 Companion Policy (Consolidated up to 31 December 2021) Companion Policy
31-103 Amendment Instrument to NI 31-103 (2) National Instrument
31-103 Amendment Instrument to NI 31-103 National Instrument
31-103 Changes to 31-103CP Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments – Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1 CSA Notice
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Notice
31-103 Companion Policy (Consolidated up to 1 March 2021) Companion Policy
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Changes to 31-103CP Changes to Companion Policy
31-103 National Instrument (consolidated up to 1 March 2021) National Instrument
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 33-109 and NI 31-103 Modernization Registration Information Requirements CSA Notice
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages CSA Notice
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 31-103 to Enhance Protection of Older and Vulnerable Clients CSA Notice
31-103 Companion Policy (Consolidated up to 31 December 2019) Companion Policy
31-103 National Instrument (consolidated up to 31 December 2019) National Instrument
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Changes to 31-103CP (Black line document) Changes to Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to NI 31-103 and its related Companion Policy - Reform to Enhance the Client-Registrant Relationship CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 National Instrument (consolidated up to 12 June 2019) National Instrument
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Second Notice and Request for Comment - Proposed Amendments to NI 45-106, NI 31-103 as well as changes to their related Companion Policies relating to Syndicated Mortgages CSA Notice
31-103 CSA Notice of Amendments to NI 31-103 Custody-Related Amendments CSA Notice
31-103 CSA Notice and Request for Comment: Proposed Custody Related Amendments to NI 31-103 CSA Notice
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 81-105 Mutual Fund Sales Practices and Related Consequential Amendments CSA Notice
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 31-103 Reforms to Enhance the Client-Registrant Relationship CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 National Instrument (Consolidated up to 12 June 2018) National Instrument
31-103 Ministerial Consent Ministerial Consent
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to NI 45-102, NI 31-103, Changes to NP 11-206 and 45-102CP CSA Notice
31-103 CSA Notice of Amendments Relating to Designated Rating Organizations CSA Notice
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Changes to 31-103 CP (Blackline) Changes to Companion Policy
31-103 National Instrument (Consolidated up to 4 December 2017) National Instrument
31-103 Companion Policy (Consolidated up to 4 December 2017) Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to NI 31-103 and NI 33-109 as well as Changes to 31-103CP and 33-109CP CSA Notice
31-103 Various Proposed Amendments to: NI 25-101, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102, NI 81-106, 21-101CP, 81-102CP CSA Notice
31-103 CSA Notice and Request for Comment Proposed Amendments to 45-102, its related Companion Policy as well as Consequential Amendments to NI 31-103 and NP 11-206 CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Changes to 31-103CP Changes to Companion Policy
31-103 National Instrument (Consolidate up to 1 February 2017) National Instrument
31-103 Companion Policy (Consolidated up to 1 February 2017) Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Multilateral Notice of Amendments to Certain National, Multilateral and Local Instruments and Changes to 31-103CP Related to Derivatives Regulation in Alberta, New Brunswick, Nova Scotia and Saskatchewan CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 National Instrument (Consolidated up to 5 October 2016) National Instrument
31-103 Ministerial Consent Ministerial Consent
31-103 National Instrument (Consolidated up to 15 July 2016) National Instrument
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 31-103, NI 33-109 and changes to 31-103CP CSA Notice
31-103 CSA Multilateral Notice and Request for Comment - Proposed Amendments to Certain National, Multilateral and Local Instruments and Proposed Changes to 31-103CP Related to Derivatives Regulation in Alberta, New Brunswick and Saskatchewan CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Changes to 31-103 CP Changes to Companion Policy
31-103 National Instrument (Consolidated up to 5 May 2015) National Instrument
31-103 Companion Policy (Consolidated up to 5 May 2015) Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to NI 45-106 Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Changes to 31-103CP (Blackline) Changes to Companion Policy
31-103 National Instrument (Consolidated up to 11 January 2015) National Instrument
31-103 Companion Policy (Consolidated up to 11 January 2015) Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Changes to Related Companion Policies CSA Notice
31-103 Amendments to NI 31-103 Amendments to Instrument
31-103 Amendments to Companion Policy 31-103CP Changes to Companion Policy
31-103 National Instrument (Consolidated up to 22 September 2014) National Instrument
31-103 Companion Policy (Consolidated up to 22 September 2014) Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 National Instrument (Consolidated up to 15 July 2014) National Instrument
31-103 CSA Notice of Amendments to NI 81-102, NI 81-106, NI 81-101, NI 41-101 and Related Consequential Amendments CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Changes to 31-103CP (Black line document) Changes to Companion Policy
31-103 National Instrument (Consolidated up to 1 May 2014) National Instrument
31-103 Companion Policy (Consolidated up to 1 May 2014) Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 Ministerial Consent Ministerial Consent
31-103 Amendment Instrument to NI 31-103 (Amendments Required to the French Version Only) Amendments to Instrument
31-103 CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Notice
31-103 CSA Notice and Request for Comment on Proposed Amendments to NI 31-103, NI 33-109, NI 52-107 and to Related Policies and Forms CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Amendments to 31-103CP (Blackline) Changes to Companion Policy
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Ministerial Consent Ministerial Consent
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP CSA Notice
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 81-102 Mutual Funds and Related Consequential Amendments CSA Notice
31-103 CSA Notice - Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations CSA Notice
31-103 CSA Notice and Request for Comment on NI 31-103 and 31-103CP - Dispute Resolution Service - OBSI CSA Notice
31-103 Amendment Instrument to 31-103CP Amendments to Instrument
31-103 Companion Policy 31-103 ( Consolidated up to 28 September 2012) Companion Policy
31-103 CSA Notice and Request for Comment to Registration, Prospectus and Continuous Disclosure Rules - re: NI 25-101 CSA Notice
31-103 CSA Notice of Multilateral Policy 31-202 - Registration Requirement for Investment Fund Managers and Amendments to 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Notice
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and 31-103CP CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Amendment Instrument to 31-103CP Amendments to Instrument
31-103 National Instrument (Consolidated up to 28 February 2012) National Instrument
31-103 CSA Notice and Request for Comment - MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers and 32-102CP CSA Notice
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to 31-103CP CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Companion Policy (Consolidated up to 11 July 2011) Companion Policy
31-103 National Instrument (Consolidated up to 11 July 2011) National Instrument
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP CSA Notice
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice and Request for Comment - NI 31-103 Registration Requirements and Exemptions and 31-103 CP CSA Notice
31-103 CSA Notice of Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP and Amendments to NI 33-109 Registration Information and 33-109CP CSA Notice
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument
31-103 Amendment Instrument to 31-103CP Amendments to Instrument
31-103 Companion Policy (Consolidated up to 1 January 2011) Companion Policy
31-103 Ministerial Consent Ministerial Consent
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP CSA Notice
31-103 CSA Notice of Amendments to NI 31-103 Registration Requirements and Exemptions & 31-103CP and Amendments to NI 33-109 Registration Requirements CSA Notice
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and NI 33-109 Registration Information CSA Notice
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and NI 33-109 Registration Information CSA Notice
31-103 AMF and NBSC Notice and Request for Comments - Draft Amendment Instruments Concordant to Draft NI 52-107 - Acceptable Accounting Principles and Auditing Standards and Conforming Amendments to Certain Companion Policies Local Notice
31-103 AMF and NBSC Notice and Request for Comments - Draft Amendment Instruments Concordant to Draft NI 52-107 - Acceptable Accounting Principles and Auditing Standards and Conforming Amendments to Certain Companion Policies Local Notice
31-103 AMF and NBSC Staff Notice on Proposed Changes to NI 31-103 Registration Requirements and Exemptions, 31-103CP and NI 33-109 Registration Information Local Notice
31-103 AMF and NBSC Staff Notice on Proposed Changes to NI 31-103 Registration Requirements and Exemptions, 31-103CP and NI 33-109 Registration Information Local Notice
31-103 Ministerial Consent Ministerial Consent
31-103 National Instrument National Instrument
31-103 Companion Policy Companion Policy
31-103 CSA Notice of NI 31-103 - Registration Requirements and Exemptions CSA Notice
31-103 CSA Notice and Request for Comment CSA Notice
31-103 Summary of Comments CSA Notice
31-103 CSA Request for Comment CSA Notice
31-103 Proposed National Instrument National Instrument
31-103 Proposed Companion Policy Companion Policy
31-103 Proposed Form 33-109 F1 National Instrument
31-103 Proposed Form 33-109F4 National Instrument
31-103 Proposed Form 33-109-F6 National Instrument