Canadian Securities Regulators publish responses to frequently asked questions about the new national registration regime
CSA Securities
Toronto – The Canadian Securities Administrators (CSA) today published Staff Notice 31-313, containing answers to frequently asked questions (FAQs) about the new Canada-wide registration regime.
The FAQ list was created from public enquiries that CSA members received concerning the new regime for the registration of firms and individuals who deal in securities, provide investment advice or manage investment funds.
The key components of the new regime, which came into force on September 28, 2009, include National Instrument 31-103 Registration Requirements and Exemptions and amendments to National Instrument 33-109 Registration Information. Staff Notice 31-313 was compiled in FAQ format in order to assist those working with these instruments. The Notice will be available on various CSA members’ websites and may be updated from time to time.
The CSA, the council of the securities regulators of Canada’s provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets.
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For more information:
CSA member name | Point of contact | Phone number |
|---|---|---|
Autorité des marchés financiers | Sylvain Théberge | |
Alberta Securities Commission | Mark Dickey | |
British Columbia Securities Commission | Ken Gracey | |
Financial Services Regulation Division, Newfoundland and Labrador | Doug Connolly | |
Manitoba Securities Commission | Ainsley Cunningham | |
New Brunswick Securities Commission | Wendy Connors-Beckett | |
Nova Scotia Securities Commission | Natalie MacLellan | |
Ontario Securities Commission | Theresa Ebden | |
PEI Securities Office, Department of the Attorney General | Janice Callbeck | |
Saskatchewan Financial Services Commission | Barbara Shourounis | |
Securities Office, Northwest Territories | Donn MacDougall | |
Securities Office, Nunavut | Louis Arki | |
Securities Office, Yukon | Fred Pretorius |