Securities Instruments

Securities Instruments

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Instrument 31-103 Registration Requirements and Exemptions and Related Instruments – FAQs as of February 5, 2010 (Withdrawn 2015-07-16)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

CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP

PDF • 467,33 Ko

Amendments to NI 31-103

PDF • 234,36 Ko

Amendments to NI 31-103

PDF • 112,33 Ko

Multilateral Policy 31-202 Registration Requirement for Investment Fund Managers

PDF • 76,44 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

CSA Notice and Request for Comment to Registration, Prospectus and Continuous Disclosure Rules - re: NI 25-101

PDF • 154,15 Ko

CSA Notice - Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules Related to National Instrument 25-101 Designated Rating Organizations

PDF • 72,39 Ko

CSA Notice and Request for Comment on NI 31-103 and 31-103CP - Dispute Resolution Service - OBSI

PDF • 65,62 Ko

Companion Policy 31-103 ( Consolidated up to 28 September 2012)

PDF • 317,79 Ko

Amendments to 31-103CP

PDF • 63,7 Ko

CSA Consultation Paper 25-401 - Potential Regulation of Proxy Advisory Firms

PDF • 150,6 Ko

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

PDF • 114,5 Ko

CSA Staff Notice 31-329 - Omnibus/Blanket orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions

PDF • 199,16 Ko

CSA Notice and Request for Comment - Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Managers and Companion Policy 32-102CP

PDF • 132,19 Ko

CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to 31-103CP

PDF • 60,08 Ko

CSA Staff Notice 31-327 - Broker-Dealer Registration in the Exempt Market Dealer Category

PDF • 51,7 Ko

CSA Staff Notice 31-326 - Outside Business Activities

PDF • 34,27 Ko

Amendments to 31-103CP

PDF • 55,37 Ko

Amendments to NI 31-103

PDF • 71,03 Ko