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

Current Instruments

No Document Type Publication Date
31-103 National Instrument (Consolidated up to 6 June 2022) National Instrument 06/06/2022
31-103 Companion Policy (Consolidated up to 6 June 2022) Companion Policy 06/06/2022

Related Documents

No Document Type Publication Date
81-105 Multilateral CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices CSA Notice 20/01/2022
14-101 CSA Notice and Request for Comment – Proposed Amendments to NI 14-101 Definitions and Consequential Amendments CSA Notice 22/04/2021
45-328 CSA Staff Notice 45-328 - Update on Amendments relating to Syndicated Mortgages CSA Notice 25/02/2021
31-358 CSA Staff Notice 31-358 Guidance on Registration Requirements for CCOs and Request for Comments CSA Notice 02/07/2020
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 28/05/2020
31-533 Blanket Order 31-533 - Relief in Respect of Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Blanket Order 16/04/2020
31-532 Blanket Order 31-532 - Relief in Respect of Client Focused Reforms Conflict of Interest Provisions of NI 31-103 Blanket Order 16/04/2020
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 16/04/2020
31-531 Blanket Order 31-531 – Temporary Exemption from Certain Financial Statements and Information Delivery Requirements for Registrants Blanket Order 23/03/2020
21-507 Blanket Order 21-507 – Temporary Exemption from Certain Reporting Requirements for Regulated Entities Carrying on Business in New Brunswick Blanket Order 23/03/2020
45-326 CSA Staff Notice 45-326 relating to Syndicated Mortgages CSA Notice 11/12/2019
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 07/12/2017
31-350 CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations CSA Notice 18/05/2017
11-335 CSA Staff Notice 11-335 Notice of Local Amendments and Changes in Certain Jurisdictions CSA Notice 13/04/2017
31-348 CSA Staff Notice 31-348 OBSI Joint Regulators Committee Annual Report for 2016 CSA Notice 23/03/2017
11-334 CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions CSA Notice 19/01/2017
11-328 CSA Staff Notice 11-328 Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon CSA Notice 12/03/2015
31-529 Blanket Order 31-529 - Exemption from the Registration Requirement in NI 31-103 for Trades in Short-Term Debt Instruments Blanket Order 29/09/2014
31-339 CSA Staff Notice 31-339 Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of NI 31-103 CSA Notice 29/05/2014
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 09/01/2014
25-401 CSA Consultation Paper 25-401 - Potential Regulation of Proxy Advisory Firms CSA Consultation Paper 21/06/2012
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 28/09/2011
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 16/09/2011
31-327 CSA Staff Notice 31-327 - Broker-Dealer Registration in the Exempt Market Dealer Category CSA Notice 02/09/2011
31-326 CSA Staff Notice 31-326 - Outside Business Activities CSA Notice 15/07/2011
31-324 CSA Staff Notice 31-324 - Exempt market dealers and account statement requirements in NI31-103 Registration Requirements and Exemptions CSA Notice 22/06/2011
31-323 CSA Staff Notice 31-323 - Guidance Relating to the Registration Obligations of Mortgage Investment Entities CSA Notice 25/01/2011
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 26/02/2010
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 05/02/2010
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 18/12/2009
31-312 CSA Staff Notice 31-312 - The Exempt Market Dealer Category Under NI 31-103 Registration Requirements and Exemptions CSA Notice 07/08/2009
31-311 CSA Staff Notice 31-311 - Proposed NI 31-103 Registration Requirements and Exemptions - Transition into the New Registration Regime CSA Notice 12/06/2009
31-310 CSA Staff Notice 31-310 - Proposed NI 31-103 Registration Requirements CSA Notice 03/04/2009
31-309 CSA Staff Notice 31-309 - Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements CSA Notice 14/11/2008
The Financial Services OmbudsNetwork - A Framework for Collaboration CSA Consultation Paper 10/08/2007

History

No Document Type Publication Date
31-103 Amendments to NI 31-103 Amendments to Instrument 06/06/2022
31-103 Changes to Companion Policy 31-103CP Changes to Companion Policy 06/06/2022
31-103 Companion Policy (Consolidated up to 1 June 2022) Companion Policy 01/06/2022
31-103 National Instrument (Consolidated up to 1 June 2022) National Instrument 01/06/2022
31-103 Local Amendments to NI 31-103 Amendments to Instrument 01/06/2022
31-103 Local Changes to Companion Policy 31-103CP Changes to Companion Policy 01/06/2022
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 28/04/2022
31-103 Ministerial Consent Ministerial Consent 21/04/2022
31-103 Ministerial Consent Ministerial Consent 21/04/2022
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 05/01/2022
31-103 National Instrument (Consolidated up 5 January 2022) National Instrument 05/01/2022
31-103 Companion Policy (Consolidated up to 31 December 2021) Companion Policy 31/12/2021
31-103 Amendment Instrument to NI 31-103 (2) National Instrument 31/12/2021
31-103 Amendment Instrument to NI 31-103 National Instrument 31/12/2021
31-103 Changes to 31-103CP Companion Policy 31/12/2021
31-103 Ministerial Consent Ministerial Consent 19/10/2021
31-103 CSA Notice of Amendments – Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1 CSA Notice 07/10/2021
31-103 Ministerial Consent Ministerial Consent 29/07/2021
31-103 CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Notice 15/07/2021
31-103 Companion Policy (Consolidated up to 1 March 2021) Companion Policy 01/03/2021
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 01/03/2021
31-103 Changes to 31-103CP Changes to Companion Policy 01/03/2021
31-103 National Instrument (consolidated up to 1 March 2021) National Instrument 01/03/2021
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 33-109 and NI 31-103 Modernization Registration Information Requirements CSA Notice 04/02/2021
31-103 Ministerial Consent Ministerial Consent 12/01/2021
31-103 CSA Notice of Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages CSA Notice 06/08/2020
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 31-103 to Enhance Protection of Older and Vulnerable Clients CSA Notice 05/03/2020
31-103 Companion Policy (Consolidated up to 31 December 2019) Companion Policy 31/12/2019
31-103 National Instrument (consolidated up to 31 December 2019) National Instrument 31/12/2019
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 31/12/2019
31-103 Changes to 31-103CP (Black line document) Changes to Companion Policy 31/12/2019
31-103 Ministerial Consent Ministerial Consent 20/12/2019
31-103 CSA Notice of Amendments to NI 31-103 and its related Companion Policy - Reform to Enhance the Client-Registrant Relationship CSA Notice 03/10/2019
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 12/06/2019
31-103 National Instrument (consolidated up to 12 June 2019) National Instrument 12/06/2019
31-103 Ministerial Consent Ministerial Consent 28/03/2019
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 15/03/2019
31-103 CSA Notice of Amendments to NI 31-103 Custody-Related Amendments CSA Notice 14/03/2019
31-103 CSA Notice and Request for Comment: Proposed Custody Related Amendments to NI 31-103 CSA Notice 25/10/2018
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 81-105 Mutual Fund Sales Practices and Related Consequential Amendments CSA Notice 13/09/2018
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 31-103 Reforms to Enhance the Client-Registrant Relationship CSA Notice 21/06/2018
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 12/06/2018
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 12/06/2018
31-103 National Instrument (Consolidated up to 12 June 2018) National Instrument 12/06/2018
31-103 Ministerial Consent Ministerial Consent 29/05/2018
31-103 Ministerial Consent Ministerial Consent 29/05/2018
31-103 CSA Notice of Amendments to NI 45-102, NI 31-103, Changes to NP 11-206 and 45-102CP CSA Notice 29/03/2018
31-103 CSA Notice of Amendments Relating to Designated Rating Organizations CSA Notice 29/03/2018
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages CSA Notice 08/03/2018
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 04/12/2017
31-103 Changes to 31-103 CP (Blackline) Changes to Companion Policy 04/12/2017
31-103 National Instrument (Consolidated up to 4 December 2017) National Instrument 04/12/2017
31-103 Companion Policy (Consolidated up to 4 December 2017) Companion Policy 04/12/2017
31-103 Ministerial Consent Ministerial Consent 10/10/2017
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 27/07/2017
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 06/07/2017
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 29/06/2017
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 01/02/2017
31-103 Changes to 31-103CP Changes to Companion Policy 01/02/2017
31-103 National Instrument (Consolidate up to 1 February 2017) National Instrument 01/02/2017
31-103 Companion Policy (Consolidated up to 1 February 2017) Companion Policy 01/02/2017
31-103 Ministerial Consent Ministerial Consent 06/12/2016
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 06/10/2016
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 05/10/2016
31-103 National Instrument (Consolidated up to 5 October 2016) National Instrument 05/10/2016
31-103 Ministerial Consent Ministerial Consent 06/09/2016
31-103 National Instrument (Consolidated up to 15 July 2016) National Instrument 15/07/2016
31-103 CSA Notice and Request for Comment Proposed Amendments to NI 31-103, NI 33-109 and changes to 31-103CP CSA Notice 07/07/2016
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 19/05/2016
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 05/05/2015
31-103 Changes to 31-103 CP Changes to Companion Policy 05/05/2015
31-103 National Instrument (Consolidated up to 5 May 2015) National Instrument 05/05/2015
31-103 Companion Policy (Consolidated up to 5 May 2015) Companion Policy 05/05/2015
31-103 Ministerial Consent Ministerial Consent 28/04/2015
31-103 CSA Notice of Amendments to NI 45-106 Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions CSA Notice 19/02/2015
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 11/01/2015
31-103 Changes to 31-103CP (Blackline) Changes to Companion Policy 11/01/2015
31-103 National Instrument (Consolidated up to 11 January 2015) National Instrument 11/01/2015
31-103 Companion Policy (Consolidated up to 11 January 2015) Companion Policy 11/01/2015
31-103 Ministerial Consent Ministerial Consent 10/12/2014
31-103 CSA Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Changes to Related Companion Policies CSA Notice 16/10/2014
31-103 Amendments to NI 31-103 Amendments to Instrument 22/09/2014
31-103 Amendments to Companion Policy 31-103CP Changes to Companion Policy 22/09/2014
31-103 National Instrument (Consolidated up to 22 September 2014) National Instrument 22/09/2014
31-103 Companion Policy (Consolidated up to 22 September 2014) Companion Policy 22/09/2014
31-103 Ministerial Consent Ministerial Consent 12/08/2014
31-103 National Instrument (Consolidated up to 15 July 2014) National Instrument 15/07/2014
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 19/06/2014
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 01/05/2014
31-103 Changes to 31-103CP (Black line document) Changes to Companion Policy 01/05/2014
31-103 National Instrument (Consolidated up to 1 May 2014) National Instrument 01/05/2014
31-103 Companion Policy (Consolidated up to 1 May 2014) Companion Policy 01/05/2014
31-103 Ministerial Consent Ministerial Consent 10/03/2014
31-103 Ministerial Consent Ministerial Consent 14/01/2014
31-103 Amendment Instrument to NI 31-103 (Amendments Required to the French Version Only) Amendments to Instrument 14/01/2014
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 19/12/2013
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 05/12/2013
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 15/07/2013
31-103 Amendments to 31-103CP (Blackline) Changes to Companion Policy 15/07/2013
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 31/05/2013
31-103 Ministerial Consent Ministerial Consent 20/05/2013
31-103 Ministerial Consent Ministerial Consent 03/05/2013
31-103 CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP CSA Notice 28/03/2013
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 81-102 Mutual Funds and Related Consequential Amendments CSA Notice 27/03/2013
31-103 CSA Notice - Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to NI 25-101 Designated Rating Organizations CSA Notice 14/03/2013
31-103 CSA Notice and Request for Comment on NI 31-103 and 31-103CP - Dispute Resolution Service - OBSI CSA Notice 15/11/2012
31-103 Amendment Instrument to 31-103CP Amendments to Instrument 28/09/2012
31-103 Companion Policy 31-103 ( Consolidated up to 28 September 2012) Companion Policy 28/09/2012
31-103 CSA Notice and Request for Comment to Registration, Prospectus and Continuous Disclosure Rules - re: NI 25-101 CSA Notice 26/07/2012
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 05/07/2012
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 14/06/2012
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 28/02/2012
31-103 Amendment Instrument to 31-103CP Amendments to Instrument 28/02/2012
31-103 National Instrument (Consolidated up to 28 February 2012) National Instrument 28/02/2012
31-103 CSA Notice and Request for Comment - MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers and 32-102CP CSA Notice 10/02/2012
31-103 Ministerial Consent Ministerial Consent 16/01/2012
31-103 CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to 31-103CP CSA Notice 25/11/2011
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 11/07/2011
31-103 Companion Policy (Consolidated up to 11 July 2011) Companion Policy 11/07/2011
31-103 National Instrument (Consolidated up to 11 July 2011) National Instrument 11/07/2011
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP CSA Notice 22/06/2011
31-103 Ministerial Consent Ministerial Consent 18/05/2011
31-103 CSA Notice and Request for Comment - NI 31-103 Registration Requirements and Exemptions and 31-103 CP CSA Notice 13/05/2011
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 15/04/2011
31-103 Amendment Instrument to NI 31-103 Amendments to Instrument 01/01/2011
31-103 Amendment Instrument to 31-103CP Amendments to Instrument 01/01/2011
31-103 Companion Policy (Consolidated up to 1 January 2011) Companion Policy 01/01/2011
31-103 Ministerial Consent Ministerial Consent 10/12/2010
31-103 CSA Notice and Request for Comment - Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP CSA Notice 15/10/2010
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 01/10/2010
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 25/06/2010
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 25/06/2010
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 12/03/2010
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 12/03/2010
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 23/10/2009
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 23/10/2009
31-103 Ministerial Consent Ministerial Consent 28/09/2009
31-103 National Instrument National Instrument 28/09/2009
31-103 Companion Policy Companion Policy 28/09/2009
31-103 CSA Notice of NI 31-103 - Registration Requirements and Exemptions CSA Notice 17/07/2009
31-103 CSA Notice and Request for Comment CSA Notice 29/02/2008
31-103 Summary of Comments CSA Notice 29/02/2008
31-103 CSA Request for Comment CSA Notice 20/02/2007
31-103 Proposed National Instrument National Instrument 20/02/2007
31-103 Proposed Companion Policy Companion Policy 20/02/2007
31-103 Proposed Form 33-109 F1 National Instrument 20/02/2007
31-103 Proposed Form 33-109F4 National Instrument 20/02/2007
31-103 Proposed Form 33-109-F6 National Instrument 20/02/2007