Securities Instruments

Securities Instruments

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Companion Policy

PDF • 1,19 Ko

31-330 CSA Staff Notice - Omnibus/Blanket Orders Extending Certain Transition Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services (Withdrawn 2015-07-16)

PDF • 45,47 Ko

31-332 - CSA Staff Notice - Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers

PDF • 42,35 Ko

31-335 - CSA Staff Notice - Extension of Interim Relief for Members of IIROC from the Requirement in section 14.2(1) of NI 31-103 (Withdrawn 2015-07-16)

PDF • 81,6 Ko

31-331 - CSA Staff Notice - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category (Withdrawn 2015-07-16)

PDF • 41,8 Ko

31-333 - CSA Staff Notice - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category (Withdrawn 2015-07-16)

PDF • 33,69 Ko

31-334 - CSA Staff Notice - CSA Review of Relationship Disclosure Practices

PDF • 165,27 Ko

31-330 - CSA Staff Notice - Omnibus/Blanket Orders Extending Certain Transition Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services

PDF • 45,47 Ko

31-317 - CSA Staff Notice - Reporting Obligations Related to Terrorist Financing for Registrants, Exempt International Dealers, and Exempt International Advisers (Revised)

PDF • 111,25 Ko

31-328 - CSA Staff Notice - Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (Withdrawn 2015-07-16)

PDF • 114,5 Ko

31-329 - CSA Staff Notice - Omnibus/Blanket Orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions (Withdrawn 2015-07-16)

PDF • 199,16 Ko

31-327 - CSA Staff Notice - Broker-Dealer Registration in the Exempt Market Dealer Category (Withdrawn 2015-07-16)

PDF • 51,7 Ko

31-323 - CSA Staff Notice - Guidance Relating to the Registration Obligations of Mortgage Investment Entities

PDF • 71 Ko

31-324 - CSA Staff Notice - Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions

PDF • 38,3 Ko

31-325 - CSA Staff Notice - Marketing Practices of Portfolio Managers

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31-326 - CSA Staff Notice - Outside Business Activities (Withdrawn 2015-07-16)

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31-315 - CSA Staff Notice - Omnibus/Blanket Orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements and Exemptions (Withdrawn 2015-07-16)

PDF • 88,36 Ko

CSA Notice of Multilateral Policy 31-202 Registration Requirement for Investment Fund Managers and Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations

PDF • 89,53 Ko

31-313 - CSA Staff Notice - National Instrument 31-103 Registration Requirements and Exemptions and Related Instruments - FAQ's as of 18 December 2009 (Withdrawn 2015-07-16)

PDF • 117,93 Ko

31-314 - CSA Staff Notice – National Instrument 31-103 Registration Requirements and Exemptions and Related Instruments – FAQs as of February 5, 2010 (Withdrawn 2015-07-16)

PDF • 40,55 Ko