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

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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

Proposed Rules and Changes:

CSA Notice and Request for Comment – Proposed Amendments and Changes to address the Principal Distributor Model for Mutual Funds

Comment Period Opened 28 Nov 2024 TO 27 Feb 2025
CSA Notice and Request for Comment - Proposed Amendments to the Principal Distributor Model.pdf

Please submit your comments on or before February 27, 2025 addressed to the Financial and Consumer Services Commission (New Brunswick).

How to Contact

We ask that you kindly deliver your comments only to the addresses below. Your comments will be distributed to the other participating CSA regulators: 

The Secretary
Ontario Securities Commission
20 Queen Street West
22nd Floor
Toronto, Ontario M5H 3S8
Email: comments@osc.gov.on.ca

 

Me Philippe Lebel
Corporate Secretary and Executive Director, Legal Affairs
Autorité des marchés financiers
Place de la Cité, tour PwC
2640, boulevard Laurier, bureau 400
Québec (Québec) G1V 5C1
Email: consultation-en-cours@lautorite.qc.ca

  Submit a Comment Online

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