Regulatory Instrument Details

Securities Law & Policy

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

31-103
Number
Title
Regulatory Instrument Type
Date Type
Date
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations - Consolidated Version
As Amended - National Instrument - 12/31/2019
National Instrument
As Amended
12/31/2019
31-103F1
Calculation of Excess Working Capital - Consolidated Version
As Amended - Form - 06/12/2018
Form
As Amended
06/12/2018
31-103F2
Submission to Jurisdiction and Appointment of Agent for Service - Consolidated Version
As Amended - Form - 01/11/2015
Form
As Amended
01/11/2015
31-103F3
Use of Mobility Exemption - Consolidated Version
As Amended - Form - 07/11/2011
Form
As Amended
07/11/2011
31-103F4
Net Asset Value Adjustments
Effective - Form - 01/11/2015
Form
Effective
01/11/2015
31-103CP
Companion Policy to NI 31-103 - Consolidated Version
As Changed - Companion Policy - 12/31/2019
Companion Policy
As Changed
12/31/2019

Proposed Amendments Related to 31-103

Number
Title
Regulatory Instrument Type
Date Type
Date
CSA Notice and Request for Comments Proposed Amendments NI 31-103 to Enhance Protection of Older and Vulnerable Clients
Published - CSA Notice - 03/05/2020
CSA Notice
Published
03/05/2020
31-103CP
Proposed Changes to 31-103CP (arising from NI 45-106)
Published - Proposed Changes to Policy - 03/15/2019
Proposed Changes to Policy
Published
03/15/2019
31-103
Proposed Amendments to NI 31-103 (arising from NI 45-106)
Published - Proposed Amendments to Instrument - 03/15/2019
Proposed Amendments to Instrument
Published
03/15/2019
Proposed Amendments to NI 31-103
Published - CSA Notice - 10/25/2018
CSA Notice
Published
10/25/2018
Related (48) Historic (108)
Number
Title
Regulatory Instrument Type
Status
Date
31-533
Temporary Exemption from Client Focused Reforms Conflict of Interest Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Published - Blanket Order - 04/16/2020
Blanket Order
Published
04/16/2020
31-357
Blanket Orders/Class Orders re Certain Client Focused Reforms Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Published - CSA Notice - 04/16/2020
CSA Notice
Published
04/16/2020
31-534
Temporary Exemption from Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Published - Blanket Order - 04/16/2020
Blanket Order
Published
04/16/2020
31-532
Temporary Exemptions from Certain Financial Statements and Info Delivery Requirements for Registrants
Effective - Blanket Order - 03/23/2020
Blanket Order
Effective
03/23/2020
45-326
Update on Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages
Published - CSA Notice - 12/11/2019
CSA Notice
Published
12/11/2019
31-356
Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision
Published - CSA Notice - 08/22/2019
CSA Notice
Published
08/22/2019
31-355
OBSI Joint Regulators Committee Annual Report for 2018
Published - CSA Notice - 08/15/2019
CSA Notice
Published
08/15/2019
31-354
Suggested Practices for Engaging with Older or Vulnerable Clients
Published - CSA Notice - 06/21/2019
CSA Notice
Published
06/21/2019
33-706
Policy and Procedures Manual - Reference Resource for Exempt Market Dealers
Published - ASC Notice - 06/12/2019
ASC Notice
Published
06/12/2019
Second Notice and Request for Comment Proposed Amendments to NI 45-106 and NI 31-103 relating to Syndicated Mortgages (includes comment letters received)
Published - CSA Notice - 03/15/2019
CSA Notice
Published
03/15/2019
Continuation of ASC Blanket Order 31-505 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
Published - ASC Notice - 03/11/2019
ASC Notice
Published
03/11/2019
11-338
CSA Market Disruption Coordination Plan
Published - CSA Notice - 10/18/2018
CSA Notice
Published
10/18/2018
46-309
Bail-in Debt
Published - CSA Notice - 08/23/2018
CSA Notice
Published
08/23/2018
Request for Comment Proposed Revocation of Blanket Order 31-505 (includes comment letters received)
Published - ASC Notice - 08/15/2018
ASC Notice
Published
08/15/2018
81-330
Status Report on Consultation on Embedded Commissions and Next Steps
Published - CSA Notice - 06/21/2018
CSA Notice
Published
06/21/2018
31-353
OBSI Joint Regulators Committee Annual Report for 2017
Published - CSA Notice - 03/29/2018
CSA Notice
Published
03/29/2018
31-352
Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations
Published - CSA Notice - 02/22/2018
CSA Notice
Published
02/22/2018
31-701
Account Opening Assistance
Published - ASC Notice - 12/19/2017
ASC Notice
Published
12/19/2017
31-351
IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with Requirements Regarding the Ombudsman for Banking Services and Investments
Published - CSA Notice - 12/07/2017
CSA Notice
Published
12/07/2017
33-321
Cyber Security and Social Media
Published - CSA Notice - 10/19/2017
CSA Notice
Published
10/19/2017
33-320
The Requirement for True and Complete Applications for Registration
Published - CSA Notice - 07/13/2017
CSA Notice
Published
07/13/2017
31-349
Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
Published - CSA Notice - 07/13/2017
CSA Notice
Published
07/13/2017
31-350
Guidance on Small Firms Compliance and Regulatory Obligations
Published - CSA Notice - 05/18/2017
CSA Notice
Published
05/18/2017
31-348
OBSI Joint Regulators Committee Annual Report for 2016
Published - CSA Notice - 03/23/2017
CSA Notice
Published
03/23/2017
33-318
Review of Practices Firms Use to Compensate and Provide Incentives to their Representative
Published - CSA Notice - 12/15/2016
CSA Notice
Published
12/15/2016
31-347
Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
Published - CSA Notice - 11/17/2016
CSA Notice
Published
11/17/2016
31-346
Regulatory Concerns Over a Perceived Reduction in Liquidity in Canadian Fixed Income Markets – Guidance as to the Scope of the International Dealer Exemption in NI 31-103
Published - CSA Notice - 09/01/2016
CSA Notice
Published
09/01/2016
33-404
Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward their Clients (includes links to comment letters)
Published - Consultation Paper - 04/28/2016
Consultation Paper
Published
04/28/2016
31-345
Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance
Published - CSA Notice - 04/14/2016
CSA Notice
Published
04/14/2016
31-343
Conflicts of Interest in Distributing Securities of Related or Connected Issuers
Published - CSA Notice - 11/19/2015
CSA Notice
Published
11/19/2015
31-342
Guidance for Portfolio Managers Regarding Online Advice
Published - CSA Notice - 09/24/2015
CSA Notice
Published
09/24/2015
11-329
Withdrawal of Notices and Revocation of Omnibus/Blanket Orders
Published - CSA Notice - 07/16/2015
CSA Notice
Published
07/16/2015
31-531
Exemptions from Certain CRM2 Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Effective - Blanket Order - 07/15/2015
Blanket Order
Effective
07/15/2015
45-304
Notice of Local Exemptions Related to NI 45-106 and NI 31-103
Published - CSA Notice - 05/21/2015
CSA Notice
Published
05/21/2015
32-301
Omnibus/Blanket Order Exempting Certain U.S. Broker-Dealers and U.S. Advisers from the Requirement to Register in Respect of Trades and Advice for U.S. Resident Clients
Published - CSA Notice - 03/26/2015
CSA Notice
Published
03/26/2015
31-530
Trades and Advice for US-Resident Clients: Dealer and Adviser Registration Exemptions
Effective - Blanket Order - 03/26/2015
Blanket Order
Effective
03/26/2015
31-340
OBSI Joint Regulators Committee Annual Report for 2014
Published - CSA Notice - 03/19/2015
CSA Notice
Published
03/19/2015
31-338
Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization
Published - CSA Notice - 05/01/2014
CSA Notice
Published
05/01/2014
31-336
Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
Published - CSA Notice - 01/09/2014
CSA Notice
Published
01/09/2014
31-334
CSA Review of Relationship Disclosure Practices
Published - CSA Notice - 07/18/2013
CSA Notice
Published
07/18/2013
31-332
Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
Published - CSA Notice - 01/17/2013
CSA Notice
Published
01/17/2013
31-202
Registration Requirement for Investment Fund Managers
Effective - Multilateral Policy - 09/28/2012
Multilateral Policy
Effective
09/28/2012
33-704
Review of Exempt Market Dealers
Published - ASC Notice - 01/12/2012
ASC Notice
Published
01/12/2012
31-325
Marketing Practices of Portfolio Managers
Published - CSA Notice - 07/05/2011
CSA Notice
Published
07/05/2011
31-323
Guidance Relating to the Registration Obligations of Mortgage Investment Entities
Published - CSA Notice - 02/25/2011
CSA Notice
Published
02/25/2011
31-505
Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
Effective - Blanket Order - 03/27/2010
Blanket Order
Effective
03/27/2010
Blanket Order 31-505 - Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
Published - ASC Notice - 02/12/2010
ASC Notice
Published
02/12/2010
33-315
Suitability Obligation and Know Your Product
Published - CSA Notice - 09/02/2009
CSA Notice
Published
09/02/2009
Number
Title
Regulatory Instrument Type
Status
Date
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 12/31/2019
Amendments to Instrument
Effective
12/31/2019
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 12/31/2019
Changes to Policy
Effective
12/31/2019
Amendments to NI 31-103 and Changes to 31-103CP
Published - CSA Notice - 10/03/2019
CSA Notice
Published
10/03/2019
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 06/12/2019
Amendments to Instrument
Effective
06/12/2019
Amendments to NI 31-103
Published - CSA Notice - 03/14/2019
CSA Notice
Published
03/14/2019
31-339
Withdrawn - Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Withdrawn - CSA Notice - 03/07/2019
CSA Notice
Withdrawn
03/07/2019
Request for Comment Proposed Amendments to NI 31-103 re Client Focused Reforms (includes links to comment letters received)
Published - CSA Notice - 06/21/2018
CSA Notice
Published
06/21/2018
31-103
Amendments to NI 31-103 (arising from NI 44-101)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
31-103
Amendments to NI 31-103 (arising from NI 45-102)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
31-529
Expired - Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for MFDA Members
Expired - Blanket Order - 12/04/2017
Blanket Order
Expired
12/04/2017
31-528
Expired - Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for IIROC Members
Expired - Blanket Order - 12/04/2017
Blanket Order
Expired
12/04/2017
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 12/04/2017
Changes to Policy
Effective
12/04/2017
31-103
Amendments to NI 31-103 (Alberta only)
Effective - Amendments to Instrument - 12/04/2017
Amendments to Instrument
Effective
12/04/2017
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 12/04/2017
Amendments to Instrument
Effective
12/04/2017
Amendments to NI 31-103 and NI 33-109 and related Policies and Forms
Published - CSA Notice - 07/27/2017
CSA Notice
Published
07/27/2017
31-103
Amendments to NI 31-103 (arising from NI 14-101)
Effective - Amendments to Instrument - 02/01/2017
Amendments to Instrument
Effective
02/01/2017
31-103CP
Changes to 31-103CP (arising from NI 14-101)
Effective - Changes to Policy - 02/01/2017
Changes to Policy
Effective
02/01/2017
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 12/01/2016
Amendments to Instrument
Effective
12/01/2016
Amendments to NI 31-103
Published - ASC Notice - 10/13/2016
ASC Notice
Published
10/13/2016
Request for Comment Proposed Amendments to NI 31-103, 31-103CP, NI 33-109 and Related Forms
Published - CSA Notice - 07/07/2016
CSA Notice
Published
07/07/2016
31-324
Exempt Market Dealers and Account Statement Requirements in NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 04/14/2016
CSA Notice
Withdrawn
04/14/2016
31-337
Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance
Withdrawn - CSA Notice - 04/14/2016
CSA Notice
Withdrawn
04/14/2016
31-520
Revoked - Exemption from the Registration Requirement in NI 31-103 for International Dealers
Revoked - Blanket Order - 07/16/2015
Blanket Order
Revoked
07/16/2015
31-521
Revoked - Exemption from the Registration Requirement in NI 31-103 for International Advisers
Revoked - Blanket Order - 07/16/2015
Blanket Order
Revoked
07/16/2015
31-327
Withdrawn - Broker-Dealer Registration in the Exempt Market Dealer Category
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-328
Withdrawn - Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-313
Withdrawn - NI 31-103 Registration Requirements and Exemptions and Related Instruments - FAQs as of Dec 18, 2009
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-314
Withdrawn - NI 31-103 Registration Requirements and Exemptions and Related Instruments - FAQs as of February 05, 2010
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-315
Withdrawn - Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-524
Revoked - Extension of Transitional Relief from Investment Fund Manager Registration Requirement Prescribed by Sections 16.5 and 16.6 of NI 31-103
Revoked - Blanket Order - 07/16/2015
Blanket Order
Revoked
07/16/2015
31-326
Withdrawn - Outside Business Activities
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-333
Withdrawn - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-329
Withdrawn - Omnibus / Blanket Orders Exempting Registrants from Certain Provisions in NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Staff Positions
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-331
Withdrawn - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-330
Withdrawn - Omnibus / Blanket Orders Extending Certain Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-335
Withdrawn - Extension of Interim Relief for Members of IIROC from the Requirement in Section 14.2(1) of NI 31-103 in Respect of the Provision of Relationship Disclosure Information to Existing Clients
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-103CP
Changes to 31-103CP (arising from amendments to NI 45-106 relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)
Effective - Changes to Policy - 05/05/2015
Changes to Policy
Effective
05/05/2015
31-103
Amendments to NI 31-103 (arising from amendments to NI 45-106 relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions)
Effective - Amendments to Instrument - 05/05/2015
Amendments to Instrument
Effective
05/05/2015
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 01/11/2015
Amendments to Instrument
Effective
01/11/2015
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 01/11/2015
Changes to Policy
Effective
01/11/2015
31-526
Expired - Exemption from the Registration Requirement for Trades in Short-term Debt Instruments
Expired - Blanket Order - 12/31/2014
Blanket Order
Expired
12/31/2014
31-103
Amendments to NI 31-103 (arising from Derivatives related amendments to the Securities Act)
Effective - Amendments to Instrument - 10/31/2014
Amendments to Instrument
Effective
10/31/2014
Amendments to NI 31-103, NI 33-109, NI 52-107 and Related Policies and Forms
Published - CSA Notice - 10/16/2014
CSA Notice
Published
10/16/2014
31-103
Amendments to NI 31-103 (arising from NI 81-102)
Effective - Amendments to Instrument - 09/22/2014
Amendments to Instrument
Effective
09/22/2014
31-103CP
Changes to 31-103CP (arising from NI 81-102)
Effective - Changes to Policy - 09/22/2014
Changes to Policy
Effective
09/22/2014
31-103
Changes to 31-103CP
Effective - Changes to Policy - 05/01/2014
Changes to Policy
Effective
05/01/2014
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 05/01/2014
Amendments to Instrument
Effective
05/01/2014
31-527
Expired -Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for IIROC Member Firms
Expired - Blanket Order - 03/26/2014
Blanket Order
Expired
03/26/2014
31-522
Expired - Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for IIROC Member Firms
Expired - Blanket Order - 12/31/2013
Blanket Order
Expired
12/31/2013
31-523
Expired - Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for MFDA Member Firms
Expired - Blanket Order - 12/31/2013
Blanket Order
Expired
12/31/2013
Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP
Published - CSA Notice - 12/19/2013
CSA Notice
Published
12/19/2013
31-103
Proposed Amendments to NI 31-103, NI 33-109 and NI 52-107 and Related Policies and Forms
Published - CSA Notice - 12/05/2013
CSA Notice
Published
12/05/2013
31-322
Withdrawn - Extension of Omnibus / Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-316
Withdrawn - Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-318
Withdrawn - Omnibus / Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-319
Withdrawn - Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
33-314
Withdrawn - International Financial Reporting Standards and Registrants
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-312
Withdrawn - The Exempt Market Dealer Category Under NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
33-313
Withdrawn - International Financial Reporting Standards and Registrants
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 07/15/2013
Amendments to Instrument
Effective
07/15/2013
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 07/15/2013
Changes to Policy
Effective
07/15/2013
31-519
Revoked - Exemption from Certain Sections of NI 31-103 for Trades in Short-term Debt Instruments
Revoked - Blanket Order - 05/31/2013
Blanket Order
Revoked
05/31/2013
31-103
Amendments to NI 31-103 (arising from NI 25-101)
Effective - Amendments to Instrument - 05/31/2013
Amendments to Instrument
Effective
05/31/2013
CSA Notice of Amendments to National Instrument 31-103 Re Cost Disclosure, Performance Reporting and Client Statements
Published - CSA Notice - 03/28/2013
CSA Notice
Published
03/28/2013
CSA Notice of Proposed Amendments to NI 31-103 Re Dispute Resolution Service
Published - CSA Notice - 11/15/2012
CSA Notice
Published
11/15/2012
31-525
Expired - Extension of Transitional Relief from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103
Expired - Blanket Order - 09/28/2012
Blanket Order
Expired
09/28/2012
31-103CP
Changes to 31-103CP (arising from MP 31-202)
Effective - Changes to Policy - 09/28/2012
Changes to Policy
Effective
09/28/2012
31-321
Withdrawn - Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 Registration Requirements and Exemptions
Withdrawn - CSA Notice - 06/21/2012
CSA Notice
Withdrawn
06/21/2012
CSA Notice of Proposed Amendments to NI 31-103 Re Cost Disclosure, Performance Reporting and Client Statements
Published - CSA Notice - 06/14/2012
CSA Notice
Published
06/14/2012
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 02/28/2012
Amendments to Instrument
Effective
02/28/2012
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 02/28/2012
Changes to Policy
Effective
02/28/2012
Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Published - CSA Notice - 11/25/2011
CSA Notice
Published
11/25/2011
31-514
Expired - Transitional Relief from the Requirement to Provide the Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for IIROC Member Firms
Expired - Blanket Order - 09/28/2011
Blanket Order
Expired
09/28/2011
31-515
Expired - Transitional Relief from the Requirement to Provide the Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for MFDA Member Firms
Expired - Blanket Order - 09/28/2011
Blanket Order
Expired
09/28/2011
31-512
Expired - Exemption from the Registration Requirement in NI 31-103 Registration Requirements and Exemptions for Trades in Short-term Debt Instruments
Expired - Blanket Order - 09/28/2011
Blanket Order
Expired
09/28/2011
35-501
Revoked - Trades by certain dealers in securities listed on TSX Venture (previously Canadian Venture Exchange Inc.)
Revoked - Blanket Order - 09/22/2011
Blanket Order
Revoked
09/22/2011
31-508
Revoked - Exemption from Sections 3.5 and 3.9 of NI 31-103 Registration Requirements and Exemptions for Portfolio Managers Adding a Category
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-510
Revoked - Exemption from Section 14.5 of NI 31-103 Registration Requirements and Exemptions for Canadian Firms
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-506
Revoked - Exemption from Certain Sections of National Instrument 31-103 Registration Requirements and Exemptions in Connection with Transition and Grandfathering Matters
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-507
Revoked - Exemption from Sections 3.6, 3.10 and 3.14 of NI 31-103 Registration Requirements and Exemptions for Chief Compliance Officers of Portfolio Managers Adding a Category
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-509
Revoked - Exemption from Section 3.3 of NI 31-103 Registration Requirements and Exemptions for Representatives of Scholarship Plan Dealers
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-103F1
Calculation of Excess Working Capital
Effective - Form - 07/11/2011
Form
Effective
07/11/2011
31-517
Revoked - Exemption from the Requirement that Mutual Fund Dealers Identify Individuals with 10% Interests in Corporate Clients (Section 13.2(3)(b)(i) of NI 31-103)
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
31-516
Revoked - Exemption from Requirement to Establish Whether a Client is an Insider (Section 13.2(2)(b) of NI 31-103)
Revoked - Blanket Order - 07/11/2011
Blanket Order
Revoked
07/11/2011
2011 ABASC 221
Revocation of Certain Registration-Related Blanket Orders
Effective - Revocation Order - 07/11/2011
Revocation Order
Effective
07/11/2011
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 07/11/2011
Amendments to Instrument
Effective
07/11/2011
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 07/11/2011
Changes to Policy
Effective
07/11/2011
Notice of and Request for Comment on Proposed Amendments to NI 31-103 Related to Cost Disclosure and Performance Reporting
Published - CSA Notice - 06/22/2011
CSA Notice
Published
06/22/2011
Notice of and Request for Comment on Proposed Amendments to NI 31-103 Related to Exemptions from Certain Requirements for SRO Members
Published - CSA Notice - 05/13/2011
CSA Notice
Published
05/13/2011
Notice of Amendments to NI 31-103 Registration Requirements and Exemptions and NI 33-109 Registration Information
Published - CSA Notice - 04/15/2011
CSA Notice
Published
04/15/2011
31-518
Expired - Temporary Relief for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
Expired - Blanket Order - 03/31/2011
Blanket Order
Expired
03/31/2011
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 01/01/2011
Changes to Policy
Effective
01/01/2011
31-513
Expired - Temporary Relief for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers
Expired - Blanket Order - 12/31/2010
Blanket Order
Expired
12/31/2010
31-511
Revoked - Exemption from Section 13.2(2)(b) of NI 31-103 Registration Requirements and Exemptions for Mutual Fund Dealers
Revoked - Blanket Order - 11/05/2010
Blanket Order
Revoked
11/05/2010
Notice of and Request for Comment on Proposed Amendments to NI 31-103 Registration Requirements and Exemptions – Registration of International and Certain Domestic Investment Fund Managers
Published - CSA Notice - 10/15/2010
CSA Notice
Published
10/15/2010
Notice of Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP Registration Requirements and Exemptions AND Amendments to NI 33-109 Registration Information
Published - CSA Notice - 10/01/2010
CSA Notice
Published
10/01/2010
Notice of and Request for Comment on Proposed Amendments to NI 31-103 Registration Requirements and Exemptions, NI 33-109 Registration Information and to Related Policies and Forms
Published - CSA Notice - 06/25/2010
CSA Notice
Published
06/25/2010
Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and 31-103CP and NI 33-109 Registration Information
Published - CSA Notice - 10/23/2009
CSA Notice
Published
10/23/2009
31-103
Registration Requirements and Exemptions
Effective - National Instrument - 09/28/2009
National Instrument
Effective
09/28/2009
31-103F2
Submission to Jurisdiction and Appointment of Agent for Service
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
31-103F3
Use of Mobility Exemption
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
31-103F1
Calculation of Excess Working Capital
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
32-501
Revoked - Transitional exemption for certain firms registered by the Alberta Securities Commission as securities dealers
Revoked - Blanket Order - 09/28/2009
Blanket Order
Revoked
09/28/2009
31-103CP
Companion Policy to NI 31-103
Effective - Companion Policy - 09/28/2009
Companion Policy
Effective
09/28/2009
CSA Notice of NI 31-103 Registration Requirements and Exemptions
Published - CSA Notice - 07/17/2009
CSA Notice
Published
07/17/2009
Notice and Request for Comment - Proposed NI 31-103 Registration Requirements, Proposed Companion Policy 31-103CP and Proposed Consequential Amendments
Published - CSA Notice - 02/29/2008
CSA Notice
Published
02/29/2008
CSA Notice and Request for Comment on Proposed NI 31-103 Registration Requirements, 31-103CP and Amendments to NI 33-109 Registration Information
Published - CSA Notice - 02/20/2007
CSA Notice
Published
02/20/2007

News Releases Related to 31-103

Title
Date
Canadian securities administrators adjust implementation date for client focused reforms
Apr 16, 2020
Canadian securities regulators propose changes to tackle financial exploitation and diminished mental capacity of older and vulnerable clients
Mar 05, 2020
Canadian securities regulators adopt ban on deferred sales charges
Feb 20, 2020
Canadian securities regulators implement investor protection reforms, strengthening the client-registrant relationship across Canada
Oct 03, 2019
Canadian securities regulators propose additional amendments to syndicated mortgage regime, following comment period
Mar 15, 2019
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