Securities Instruments

Securities Instruments

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National Instrument (Consolidated up to 11 January 2015)

PDF • 828,43 Ko

Companion Policy (Consolidated up to 11 January 2015)

PDF • 206,94 Ko

Changes to 33-109CP (Blackline)

PDF • 215,23 Ko

Amendments to NI 33-109

PDF • 352,89 Ko

Amendments to NI 33-109

PDF • 33,59 Ko

CSA Notice of Amendments to NI 81-102, NI 81-106, NI 81-101, NI 41-101 and Related Consequential Amendments

PDF • 1,05 Mo

CSA Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Changes to Related Companion Policies

PDF • 909,98 Ko

Companion Policy (Consolidated up to 24 October 2011 - French version only)

PDF • 177,06 Ko

Amendment Instrument to 33-105CP (French version only)

PDF • 167,83 Ko

Companion Policy (Consolidated up to 28 September 2009)

PDF • 195,29 Ko

32-301 - CSA Staff Notice - Omnibus/Blanket Orders 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

PDF • 226,11 Ko

31-340 - CSA Staff Notice - OBSI Joint Regulators Committee Annual Report for 2014

PDF • 49,47 Ko

Avis 31-339 du personnel des ACVM - Ordonnances générales dispensant l’OCRCVM et l’ACFM de certaines dispositions de la Norme canadienne 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites (retiré 201

PDF • 302,09 Ko

31-338 - CSA Staff Notice - Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization

PDF • 93,46 Ko

31-337 - CSA Staff Notice - Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance

PDF • 146,51 Ko

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

PDF • 133,38 Ko

Amendments to NI 31-103

PDF • 116,67 Ko

Amendments to 31-103CP

PDF • 115,89 Ko

National Instrument (Consolidated up to 1 May 2014)

PDF • 813,3 Ko

Companion Policy (Consolidated up to 1 May 2014)

PDF • 693,3 Ko