3 - Registration Requirements and Related Matters

Results 31 - 60 of 192
Instrument Number
Title
31-334
CSA Review of Relationship Disclosure Practices
31-335
Extension of Interim Relief for Members of the Investment Industry Regulatory Organization of Canada from the Requirement in section 14.2(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations in Respect of the Provision of Relationship Disclosure Information to Existing Clients (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-336
Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
31-337
Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014(withdrawn by CSA Notice 31-345, April 14, 2016)
31-338
Guidance on Dispute Resolution Services - Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization
31-339
[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Omnibus/ Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-340
OBSI Joint Regulators Committee Annual Report for 2014
31-341
[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-342
Guidance for Portfolio Managers Regarding Online Advice
31-343
Conflicts of interest in distributing securities of related or connected issuers
31-344
CSA Staff Notice 31-344 - OBSI Joint Regulators Committee Annual Report for 2015
31-345
CSA Staff Notice 31-345 - Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance
31-346
CSA Staff Notice 31-346 - Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers
31-347
Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
31-348
OBSI Joint Regulators Committee Annual Report for 2016
31-349
CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
31-350
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
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
31-352
CSA Staff Notice 31-352 Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations
31-353
CSA Staff Notice 31-353 OBSI Joint Regulators Committee Annual Report for 2017
31-354
CSA Staff Notice 31-354 Suggested Practices for Engaging with Older or Vulnerable Clients
31-355
CSA Staff Notice 31-355 OBSI Joint Regulators Committee Annual Report for 2018
31-356
CSA Staff Notice 31-356 Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision
31-357
CSA Notice 31-357 – Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-358
CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments
31-359
CSA Staff Notice 31-359 – OBSI Joint Regulators Committee Annual Report for 2019
31-360
CSA Notice 31-360 Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-361
CSA Staff Notice 31-361 – OBSI Joint Regulators Committee Annual Report for 2020
31-362
CSA Staff Notice 31-362 - OBSI Joint Regulators Committee Annual Report for 2021
31-363
Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance
Results 31 - 60 of 192