Regulatory Instrument Details

Securities Law and Policy

31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]

31-103
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Proposed Amendments Related to 31-103

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Related (0) Historic (0)
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News Releases Related to 31-103

Title
Date
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Aug 22, 2024
Canadian securities regulators issue guidance on bail-in debt regime
Aug 23, 2018
Canadian securities administrators propose changes to the syndicated mortgage regime
Mar 08, 2018
Canadian Securities Regulators Publish Final Amendments to Custody and Other Requirements for Dealers, Advisers and Investment Fund Managers
Jul 27, 2017
Regulators Publish Update on Consideration of Concerns Regarding Reduced Access to Canadian Foreign-Currency Fixed Income Offerings
Sep 01, 2016
Canadian Securities Regulators to Measure Impact of Point of Sale Amendments and Phase 2 of the Client Relationship Model
Aug 22, 2016
Canadian securities regulators propose changes to custody and other requirements for dealers, advisers and investment fund managers
Jul 07, 2016
Canadian securities regulators seek comment on proposals to enhance the obligations of advisers, dealers and representatives toward their clients
Apr 28, 2016
Canadian securities regulators mandate OBSI’s dispute resolution service
Dec 19, 2013
Canadian Securities Regulators Seek Comment on Proposed Changes to Registration Rules for Dealers, Advisers and Investment Fund Managers
Dec 05, 2013
CSA Requirements to Improve Disclosure for Investors Are Now In Effect
Jul 16, 2013
Canadian Securities Regulators Implement Disclosure Requirements For Investment Costs And Performance
Mar 28, 2013
Canadian Regulators Propose to Mandate OBSI’s Dispute Resolution Service
Nov 15, 2012
Canadian securities regulators propose enhanced disclosure requirements on investment costs and performance
Jun 14, 2012
Canadian Securities Regulators Seek Comment on Proposed Changes to Registration Rules for Dealers, Advisers and Investment Fund Managers
Jun 25, 2010
ASC Provides Limited Relief for Exempt Market Dealers in Alberta
Feb 12, 2010
CSA’s web-based tool allows investors to search registration of securities industry participants across multiple Canadian jurisdictions
Dec 21, 2009
Canadian Securities Regulators Publish Responses to Frequently Asked Questions About the New National Registration Regime
Dec 18, 2009
National Registration Regime Implemented: Canadian Securities Regulators Announce New Registration Rules and Streamlined Process for Dealers and Advisers
Sep 28, 2009
Canadian Securities Regulators Outline Requirements for Exempt Market Dealers
Aug 07, 2009
Canadian Securities Regulators Implement a New National Registration Regime
Jul 17, 2009
Canadian Securities Regulators Finalize Passport for Registrants and a Streamlined Review Policy for Registration in Multiple Jurisdictions
Jul 17, 2009
Canadian Regulators Provide Guidance on Transition to New Registration Regime
Jun 12, 2009
Canadian Securities Regulators Finalize Passport for Registrants and a Streamlined Review Policy for Registration in Multiple Jurisdictions
Dec 19, 2008
Canadian regulators seek comment on extension of passport system to registration
Jul 18, 2008
Canadian Regulators Propose Enhancements to Registration Regime
Feb 29, 2008
Canadian Regulators Seek Comment on Passport System
Mar 28, 2007
Canadian Regulators Seek Comment on Proposed Changes to Registration Regime
Feb 20, 2007