31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations Securities

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (V-1.1, r. 10)

Notice related to Regulation 31-103

AMF Notice

CSA Staff Notice

Notice of publication

History relating to Regulation 31-103

Date of publication in the Bulletin

Text
November 30, 2023 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 124 KB)This link will open in a new windowUpdated on November 30, 2023Draft Regulation to amend Regulation 31-103 concerning Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service. - Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service
End of consultation: February 28, 2024
November 30, 2023 Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 217 KB)This link will open in a new windowUpdated on November 30, 2023Draft amendments to Policy Statement to Regulation 31-103 concerning Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service. - Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service
End of consultation: February 28, 2024
November 30, 2023 CSA Notice of Consultation: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 532 KB)This link will open in a new windowUpdated on November 30, 2023CSA Notice of consultation of Regulation to amend Regulation 31-103 concerning Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service. - Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service
November 16, 2023 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 349 KB)This link will open in a new windowUpdated on November 16, 2023Final version of Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations. (Total Cost Reporting for Investment Funds and Segregated Funds)
In force on January 1, 2026
November 16, 2023 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligation (pdf - 380 KB)This link will open in a new windowUpdated on November 16, 2023Final Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations. (Total Cost Reporting for Investment Funds and Segregated Funds)
In force on January 1, 2026
September 14, 2023 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (PDF - 381 KB)This link will open in a new windowUpdated on September 14, 2023Final amendments to Regulation 31-103 concordant to Regulation 14-101. (concordant to Regulation 14-101)
In force on September 13, 2023
June 15, 2023 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 113 KB)This link will open in a new windowUpdated on June 15, 2023CSA Final version of Regulation to amend Regulation 31-103 (concordant to Regulation 14-101)
April 20, 2023 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 157 KB)This link will open in a new windowUpdated on April 13, 2023 (Total Cost Reporting for Investment Funds and Segregated Funds)
April 20, 2023 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligation (pdf - 368 KB)This link will open in a new windowUpdated on April 13, 2023 (Total Cost Reporting for Investment Funds and Segregated Funds)
April 20, 2023 CSA and CCIR Notice of Publication : CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance - Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations, Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations  - Total Cost Reporting (TCR) for Investment Funds and Segregated Funds (pdf - 1 MB)This link will open in a new windowUpdated on April 13, 2023 
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new window (official consolidated version)
In force from January 1, 2023 to September 12, 2023
November 24, 2022 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (PDF - 324 KB)This link will open in a new windowUpdated on November 24, 2022Amendments relating to the transition for Québec mutual fund dealers to the New SRO. (Amendments relating to the transition for Québec mutual fund dealers to the New SRO)
In force on January 1, 2023
November 24, 2022 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 159 KB)This link will open in a new windowUpdated on November 24, 2022Amendments relating to the transition for Québec mutual fund dealers to the New SRO. (Amendments relating to the transition for Québec mutual fund dealers to the New SRO)
In force on January 1, 2023
November 24, 2022 Notice of Publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations – Amendments relating to the transition for Québec mutual fund dealers to the New SRO (pdf - 220 KB)This link will open in a new windowUpdated on November 24, 2022Amendments relating to the transition for Québec mutual fund dealers to the New SRO.
May 12, 2022 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 28 KB)This link will open in a new windowUpdated on May 11, 2022Amendments relating to the transition for Québec mutual fund dealers to the New SRO (Amendments relating to the transition for Québec mutual fund dealers to the New SRO)
End of consultation : June 27, 2022
May 12, 2022 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 23 KB)This link will open in a new windowUpdated on May 11, 2022Amendments relating to the transition for Québec mutual fund dealers to the New SRO (Amendments relating to the transition for Québec mutual fund dealers to the New SRO)
End of consultation : June 27, 2022
May 12, 2022 Notice of Consultation: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations – Amendments relating to the transition for Québec mutual fund dealers to the New SRO (pdf - 78 KB)This link will open in a new windowUpdated on May 11, 2022Amendments relating to the transition for Québec mutual fund dealers to the New SRO
April 28, 2022 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 86 KB)This link will open in a new windowUpdated on April 28, 2022Total Cost Reporting for Investment Funds and Segregated Funds (Total Cost Reporting for Investment Funds and Segregated Funds)
End of consultation : July 27, 2022
April 28, 2022 Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligation (pdf - 90 KB)This link will open in a new windowUpdated on April 28, 2022Total Cost Reporting for Investment Funds and Segregated Funds (Total Cost Reporting for Investment Funds and Segregated Funds)
End of consultation : July 27, 2022
April 28, 2022

CSA and CCIR Joint Notice of Consultation : Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations, Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations, Draft CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance - Total Cost Reporting for Investment Funds and Segregated Funds (pdf - 484 KB)This link will open in a new windowUpdated on April 28, 2022Total Cost Reporting for Investment Funds and Segregated Funds
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on June 6, 2022Official consolidated version of Regulation 31-103 in force since June 6, 2022. (official consolidated version)
In force from June 6, 2022 to December 31, 2022
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on May 27, 2022Official Consolidated version of Regulation 31-103 in force since June 1, 2022. (official consolidated version)
In force from June 1, 2022 to June 5, 2022
  Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on May 31, 2022Consolidated version of Policy Statement to Regulation 31-103 in force since June 1, 2022 (consolidated version)
In force from June 1, 2022 to June 5, 2022
April 14, 2022 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 257 KB)This link will open in a new windowUpdated on April 14, 2022Final publication of Regulation to amend Regulation 31-103. (concordant to Regulation 81-105 - Prohibition of Deferred Sales Charges for Investment Funds)
In force on June 1, 2022
April 14, 2022 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 13 KB)This link will open in a new windowUpdated on April 14, 2022Final publication of the amendments to Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations(concordant to Regulation 81-105 - Prohibition of Deferred Sales Charges for Investment Funds)
In force on June 1, 2022
March 17, 2022 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 321 KB)This link will open in a new windowUpdated on March 17, 2022"Regulation, amend, Regulation 31-103, 31-103, Registration Requirements, Exemptions, Ongoing Registrant Obligations, final, gazette" (concordant to Regulation 33-109 - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines)
In force on June 6, 2022
March 17, 2022 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 59 KB)This link will open in a new windowUpdated on March 17, 2022"Policy Statement, Regulation 31-103, 31-103, Registration Requirements, Exemptions, Ongoing Registrant Obligations. final" (concordant to Regulation 33-109 - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines)
In force on June 6, 2022
January 20, 2022 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 9 KB)This link will open in a new windowUpdated on January 20, 2022CSA final verison of Regulation to amend Regulation 31-103 respecting registration requirements, exemptions and ongoing registrant obligations. (concordant to Regulation 81-105) - Prohibition of Deferred Sales Charges for Investment Funds
January 20, 2022 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 10 KB)This link will open in a new windowUpdated on January 20, 2022CSA final version of Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations. (concordant to Regulation 81-105) - Prohibition of Deferred Sales Charges for Investment Funds
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on December 22, 2021Règlement 31-103 sur les obligations et dispenses d'inscription et les obligations continues des personnes inscrites en vigueur depuis le 5 janvier 2022 (official consolidated version)
In force from January 5, 2022 to May 31, 2022
December 23, 2021 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 286 KB)This link will open in a new windowUpdated on December 23, 2021Reducing Regulatory Burden for Investement Fund Issuers - Workstream 5 (Workstream 5) - Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1
In force on January 5, 2022
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on December 22, 2021Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations in force since December 31, 2019 (official consolidated version)
In force from December 31, 2021 to January 4, 2022
  Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on December 14, 2021Consolidated version of Policy Statement to Regulation 31-103 in force since December 31, 2021 (consolidated version)
In force from December 31, 2021 to May 31, 2022
December 23, 2021 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 306 KB)This link will open in a new windowUpdated on December 23, 2021Enhancing Protection of Older and Vulnerable Clients (Enhancing Protection of Older and Vulnerable Clients)
In force on December 31, 2021
December 23, 2021 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 92 KB)This link will open in a new windowUpdated on December 23, 2021Enhancing Protection of Older and Vulnerable Clients (Enhancing Protection of Older and Vulnerable Clients)
In force on December 31, 2021
December 16, 2021 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 18 KB)This link will open in a new windowUpdated on December 16, 2021Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines. (concordant to Regulation 33-109 - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines)
December 16, 2021 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligation (pdf - 50 KB)This link will open in a new windowUpdated on December 16, 2021Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines.s (concordant to Regulation 33-109 - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines)
October 21, 2021 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 9 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds. (concordant to Regulation 81-105) - Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds
End of consultation : November 20, 2021
October 21, 2021 Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 10 KB)This link will open in a new windowUpdated on October 21, 2021Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds. (concordant to Regulation 81-105) - Amendments regarding the Prohibition of Deferred Sales Charges for Investment Funds
End of consultation : November 20, 2021 
October 7, 2021 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 9 KB)This link will open in a new windowUpdated on October 7, 2021 (Workstream 5) - Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1
End of consultation : November 6, 2021
July 15, 2021 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 27 KB)This link will open in a new windowUpdated on July 9, 2021Enhancing Protection of Older and Vulnerable Clients. (Enhancing Protection of Older and Vulnerable Clients)
July 15, 2021 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 88 KB)This link will open in a new windowUpdated on July 9, 2021Enhancing Protection of Older and Vulnerable Clients (Enhancing Protection of Older and Vulnerable Clients)
July 15, 2021 CSA Notice of publication:  Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 276 KB)This link will open in a new windowUpdated on July 15, 2021Enhancing Protection of Older and Vulnerable Clients (Enhancing Protection of Older and Vulnerable Clients)
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on July 2, 2021Registration Requirements, Exemptions and Ongoing Registrant Obligations (official consolidated version)
In force from July 1, 2021 to December 30, 2021
  Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on July 2, 2021Consolidated version of Policy Statement to Regulation 31-103 (consolidated version)
In force from July 1, 2021 to December 30, 2021
June 17, 2021 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 329 KB)This link will open in a new windowUpdated on June 9, 2021 (concordant to Regulation 45-106 - Syndicated Mortgages)
In force on July 1, 2021
June 17, 2021 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 34 KB)This link will open in a new windowUpdated on June 17, 2021 (concordant to Regulation 45-106 - Syndicated Mortgages)
In force on July 1, 2021
April 22, 2021 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 16 KB)This link will open in a new windowUpdated on April 22, 2021Concordant amendments to Regulation 14-101 (concordant to Regulation 14-101)
End of consultation : July 21, 2021
February 4, 2021 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 21 KB)This link will open in a new windowUpdated on February 4, 2021 (concordant to Regulation 33-109 - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines)
End of consultation : May 5, 2021
February 4, 2021 Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligation (pdf - 52 KB)This link will open in a new windowUpdated on February 4, 2021s (concordant to Regulation 33-109 - Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines)
End of consultation : May 5, 2021
August 6, 2020 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 38 KB)This link will open in a new windowUpdated on August 6, 2020Amendments relating to Syndicated Mortgages. (concordant to Regulation 45-106 - Syndicated Mortgages)
August 6, 2020 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 44 KB)This link will open in a new windowUpdated on August 6, 2020Amendments relating to Syndicated Mortgages (concordant to Regulation 45-106 - Syndicated Mortgages)
August 6, 2020 CSA Notice of Publication: Amendments relating to Syndicated Mortgages (pdf - 251 KB)This link will open in a new windowUpdated on October 1st, 2020Amendments relating to Syndicated Mortgages. 
March 5, 2020 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 29 KB)This link will open in a new windowUpdated on March 5, 2020Amendments to Enhance Protection of Older and Vulnerable Clients. (Amendments to Enhance Protection of Older and Vulnerable Clients)
End of consultation : June 3, 2020
March 5, 2020 Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 58 KB)This link will open in a new windowUpdated on March 5, 2020Amendments to Enhance Protection of Older and Vulnerable Clients. (Amendments to Enhance Protection of Older and Vulnerable Clients)
End of consultation : June 3, 2020
March 5, 2020 Notice of consultation:  Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 130 KB)This link will open in a new windowUpdated on March 5, 2020Amendments to Enhance Protection of Older and Vulnerable Clients. (Amendments to Enhance Protection of Older and Vulnerable Clients)  
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on December 30, 2020Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations in force since December 31, 2019 (official consolidated version)
In force from December 31, 2020 to June 30, 2021
  Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new windowUpdated on December 30, 2020Consolidated version of Policy Statement to Regulation 31-103 (consolidated version)
In force from December 31, 2020 to June 30, 2021
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new windowUpdated on January 8, 2020Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations in force since December 31, 2019. (official consolidated version)
In force from December 31, 2019 to December 30, 2020
  Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new windowUpdated on January 20, 2020Consolidated version of Policy Statement to Regulation 31-103 (consolidated version)
In force from December 31, 2019 to December 30, 2020
January 9, 2020 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 759 KB)This link will open in a new windowUpdated on January 9, 2020Final publication of Regulation to amend Regulation 31-103 concerning the Client Focused Reforms. - Client Focused Reforms
In force on December 31, 2019
January 9, 2020 Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 762 KB)This link will open in a new windowUpdated on January 9, 2020Final publication of Policy Statement to Regulation 31-103 concerning the Client Focused Reforms. - Client Focused Reforms
In force on December 31, 2019
October 3, 2019

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 66 KB)This link will open in a new windowUpdated on October 2, 2019Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms) - Client Focused Reforms 
October 3, 2019 Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 899 KB)This link will open in a new windowUpdated on October 2, 2019Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms) (blacklined version) - Client Focused Reforms 
October 3, 2019 CSA Notice of publication - Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms) (pdf - 292 KB)This link will open in a new windowUpdated on October 3, 2019Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on June 12, 2019Registration (official consolidated version)
In force from June 12, 2019 to December 30, 2019
June 6, 2019 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 213 KB)This link will open in a new windowUpdated on June 5, 2019Custody-Related Amendments - Custody-Related Amendments
In force on June 12, 2019  
March 15, 2019 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 37 KB)This link will open in a new windowUpdated on March 14, 2019Amendments relating to Syndicated Mortgages (concordant to Regulation 45-106 - Syndicated Mortgages)
End of consultation: May 14, 2019
March 15, 2019 Draft Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 37 KB)This link will open in a new windowUpdated on March 14, 2019Amendments relating to Syndicated Mortgages (concordant to Regulation 45-106 - Syndicated Mortgages)
End of consultation: May 14, 2019  
March 14, 2019 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 18 KB)This link will open in a new windowUpdated on March 14, 2019Custody-Related Amendments - Custody-Related Amendments  
March 14, 2019 CSA Notice of Publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 55 KB)This link will open in a new windowUpdated on March 14, 2019Custody-Related Amendments - Custody-Related Amendments  
October 25, 2018 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 18 KB)This link will open in a new windowUpdated on October 25, 2018Custody - Custody-Related Amendments
October 25, 2018 CSA Notice of Consultation: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 55 KB)This link will open in a new windowUpdated on October 25, 2018Custody - Custody-Related Amendments
September 13, 2018 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 14 KB)This link will open in a new windowUpdated on September 12, 2018embedded commissions (concordant to Regulation 81-105 - Embedded Commissions)
End of consultation : December 13, 2018
June 21, 2018

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 68 KB)This link will open in a new windowUpdated on June 20, 2018Client Focused Reformsb - Client Focuses Reforms

End of consultation : October 19, 2018
June 21, 2018 Draft Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 922 KB)This link will open in a new windowUpdated on June 20, 2018Client Focused Reforms - Client Focuses Reforms (blacklined version)
End of consultation : October 19, 2018  
June 21, 2018 CSA Notice of consultation: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 195 KB)This link will open in a new windowUpdated on June 21, 2018Client Focused Reforms - Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on June 11, 2018Registration (official consolidated version)
In force from June 12, 2018 to June 11, 2019 
June 7, 2018 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 296 KB)This link will open in a new windowUpdated on June 13, 2018"Regulation, amend, 31-103, Registration Requirements, Exemptions, Ongoing Registrant Obligations,final, gazette officielle" (Concordant to Regulation 45-102)
In force on June 12, 2018
June 7, 2018 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 342 KB)This link will open in a new windowUpdated on May 30, 2018 (Designated rating organizations)
In force on June 12, 2018
March 29, 2018   Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 17 KB)This link will open in a new windowUpdated on March 28, 2018Prospectus exemption (Concordant to Regulation 45-102)
March 29, 2018 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 20 KB)This link will open in a new windowUpdated on March 28, 2018Designated rating organizations (Designated rating organizations)
March 29, 2018 CSA Notice of publication of amendments relating to Designated rating organizations (pdf - 90 KB)This link will open in a new windowUpdated on March 29, 2018Designated Rating Organizations
March 8, 2018 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 31 KB)This link will open in a new windowUpdated on March 1st, 2018Syndicated Mortgages (Syndicated Mortgages)
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on May 28, 2018Registration (official consolidated version)
In force from June 4, 2018 to June 11, 2018
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on December 1st, 2017Registration (official consolidated version)
In force from December 4, 2017 to June 3, 2018
  Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on December 1st, 2017 (administrative consolidated version)
In force from December 4, 2017 to December 30, 2019
November 30, 2017 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 445 KB)This link will open in a new windowUpdated on November 29, 2017"Regulation, amend, 31-103, Registration Requirements, Exemptions, Ongoing Registrant Obligations"
In force on December 4, 2017
November 30, 2017 Policy Statement to Regulation 31-103 respecting Registration requirements exemptions and ongoing registrant obligations (pdf - 620 KB)This link will open in a new windowUpdated on November 29, 2017
In force on December 4, 2017
July 27, 2017 Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 136 KB)This link will open in a new windowUpdated on July 26, 2017"regulation, amend, 31-103, Registration Requirements, Exemptions, Ongoing Registrant Obligations"
July 27, 2017 Policy Statement to Regulation 31-103 respecting Registration requirements exemptions and ongoing registrant obligations (pdf - 730 KB)This link will open in a new windowUpdated on July 26, 2017 (blacklined version)
July 27, 2017 Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations and concordants (pdf - 278 KB)This link will open in a new windowUpdated on July 27, 2017"notice, publication,regulation, amend, 31-103, Registration Requirements, Exemptions, Ongoing Registrant Obligations"
July 6, 2017 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 20 KB)This link will open in a new windowUpdated on June 29, 2017"Règlement, modifiant, 31-103, obligations, dispenses d’inscription, obligations continues, personnes inscrites" (Designated Rating Organizations)
End of consultation: October 4, 2017
June 29, 2017 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 14 KB)This link will open in a new windowUpdated on June 29, 2017"Draft, Regulation, amend, 31-103, Registration Requirements, Exemptions, Ongoing Registrant, Obligations" (concordant to Regulation 45-102)
End of consultation: September 27, 2017
  Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on September 20, 2017Registration (official consolidated version)
In force from July 15, 2016 to December 3, 2017

July 7, 2016

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 106 KB)This link will open in a new windowUpdated on July 7, 2016
End of consultation: October 5, 2016

July 7, 2016

Draft Policy Statement to Regulation 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 658 KB)This link will open in a new windowUpdated on July 7, 2016 (blacklined version)
End of consultation: October 5, 2016

July 7, 2016

Notice and Request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations and concordants (pdf - 103 KB)This link will open in a new windowUpdated on July 7, 2016"CSA, Notice, Request, Comment, 31-103"  
 

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on July 11, 2016Registration (official consolidated version)
In force from July 15, 2015 to July 14, 2016
 

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on July 15, 2015Registration (official consolidated version)
In force from January 11, 2015 to July 14, 2015
  Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on December 1st, 2017Consolidated version (administrative consolidated version)
In force from January 11, 2015 to December 3, 2017

January 8, 2015

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 87 KB)This link will open in a new windowUpdated on January 12, 2015Registration
In force on January 11, 2015

January 8, 2015

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 787 KB)This link will open in a new windowUpdated on January 12, 2015Registration
In force on January 11, 2015

October 16, 2014

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 101 KB)This link will open in a new windowUpdated on October 16, 2014

October 16, 2014

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 948 KB)This link will open in a new windowUpdated on October 16, 2014 (blacklined version)

October 16, 2014

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations; Regulation to amend Regulation 33-109 respecting Registration Information; Regulation to amend Regulation 52-107 respecting Acceptable Accounting Principles and Auditing Standards and Related Policy Statements (pdf - 137 KB)This link will open in a new windowUpdated on September 29, 2020regulatory framework for dealers, advisers and investment fund managers
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on January 11, 2015Registration (official consolidated version)
In force from July 15, 2014 to January 10, 2015
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on July 14, 2014Registration (official consolidated version)
In force from May 1, 2014 to July 14, 2014
 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on July 14, 2014Registration (administrative consolidated version)
In force from May 1, 2014 to January 10, 2015

April 24, 2014

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 51 KB)This link will open in a new windowUpdated on April 24, 2014Dispute Resolution Service (Dispute Resolution Services)
In force on May 1, 2014

April 24, 2014

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 53 KB)This link will open in a new windowUpdated on April 24, 2014Dispute resolution service (Dispute Resolution Services)
In force on May 1, 2014

December 19, 2013

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 26 KB)This link will open in a new windowUpdated on December 17, 2013 (Dispute Resolution Services)

December 19, 2013

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 47 KB)This link will open in a new windowUpdated on December 17, 2013 (Dispute Resolution Services)

December 19, 2013

CSA Notice: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations and Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 118 KB)This link will open in a new windowUpdated on September 29, 2020Dispute Resolution Services (Dispute Resolution Services)

December 5, 2013

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 100 KB)This link will open in a new windowUpdated on December 5, 2013
End of consultation: March 5, 2014

December 5, 2013

Draft Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 947 KB)This link will open in a new windowUpdated on December 5, 2013Administrative consolidated version (blacklined version)
End of consultation: March 5, 2014

December 5, 2013

Notice and Request for comment on Proposed Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations and concordant regulations (pdf - 120 KB)This link will open in a new windowUpdated on December 5, 2013
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on April 29, 2014Registration (consolidated version)
In force from July 15, 2013 to April 30, 2014
 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 1 MB)This link will open in a new windowUpdated on May 6, 2014Registration (consolidated version)
In force from July 15, 2013 to April 30, 2014

July 11, 2013

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 115 KB)This link will open in a new windowUpdated on July 11, 2013Cost Disclosure, Performance Reporting and Client Statements (Cost Disclosure, Performance Reporting and Client Statements)
In force on July 15, 2013

July 11, 2013

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 132 KB)This link will open in a new windowUpdated on July 11, 2013Cost Disclosure, Performance Reporting and Client Statements (Cost Disclosure, Performance Reporting and Client Statements)
In force on July 15, 2013
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 1 MB)This link will open in a new windowUpdated on July 15, 2013Registration (consolidated version)
In force from May 31, 2013 to July 14, 2013

May 30, 2013

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 139 KB)This link will open in a new windowUpdated on May 30, 2013 (concordant to Regulation 25-101)
In force on May 31, 2013

March 28, 2013

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 100 KB)This link will open in a new windowUpdated on March 27, 2013Cost Disclosure, Performance Reporting and Client Statements

March 28, 2013

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 131 KB)This link will open in a new windowUpdated on March 27, 2013Cost Disclosure, Performance Reporting and Client Statements

March 28, 2013

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Cost Disclosure, Performance Reporting and Client Statements (pdf - 151 KB)This link will open in a new windowUpdated on September 29, 2020Cost Disclosure, Performance Reporting and Client Statements

March 14, 2013

Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 23 KB)This link will open in a new windowUpdated on March 13, 2013Designated Rating Organizations (concordant to Regulation 25-101)

March 14, 2013

Notice and Request for comments: Draft Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules related to Regulation 25-101 respecting Designated Rating Organizations (pdf - 60 KB)This link will open in a new windowUpdated on March 14, 2013Designated Rating Organizations
November 15, 2012 Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 12 KB)This link will open in a new windowUpdated on October 24, 2023Dispute Resolution Service (Dispute Resolution Service)
End of consultation: February 15, 2013
November 15, 2012 Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 15 KB)This link will open in a new windowUpdated on October 24, 2023Dispute Resolution Service (Dispute Resolution Service)
End of consultation: February 15, 2013
November 15, 2012 Notice and Request for Comment on Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 54 KB)This link will open in a new windowUpdated on October 24, 2023Dispute Resolution Service (Dispute Resolution Service)
 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 1 MB)This link will open in a new windowUpdated on July 15, 2013Administrative consolidated version (consolidated version)
In force from September 28, 2012 to July 14, 2013

September 27, 2012

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 11 KB)This link will open in a new windowUpdated on September 26, 2012 (concordant to Regulation 32-102)
In force on September 28, 2012

July 26, 2012

Draft Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 20 MB)This link will open in a new windowUpdated on July 27, 2012 (concordant to Regulation 25-101)

July 26, 2012

Notice and Request for comments: Draft Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules related to Regulation 25-101 respecting Designated Rating Organizations (pdf - 20 MB)This link will open in a new windowUpdated on July 27, 2012

July 5, 2012

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 11 KB)This link will open in a new windowUpdated on July 5, 2012 (concordant to Regulation 32-102)

June 14, 2012

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 5 MB)This link will open in a new windowUpdated on June 18, 2012

June 14, 2012

Draft Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 5 MB)This link will open in a new windowUpdated on June 18, 2012

June 14, 2012

Notice and Request for comment: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations and Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Cost Disclosure, Performance Reporting and Client Statements (pdf - 5 MB)This link will open in a new windowUpdated on June 18, 2012
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on May 31, 2013Registration (consolidated version)
In force from February 28, 2012 to May 30, 2013
 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 321 KB)This link will open in a new windowUpdated on February 27, 2012 (consolidated version)
In force since February 28, 2012

February 24, 2012

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 5 MB)This link will open in a new windowUpdated on February 27, 2012
In force on February 28, 2012

February 24, 2012

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 5 MB)This link will open in a new windowUpdated on February 27, 2012
In force on February 28, 2012

February 10, 2012

Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 6 MB)This link will open in a new windowUpdated on February 13, 2012 (concordant to Regulation 32-102)

November 25, 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new windowUpdated on November 28, 2011

November 25, 2011

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new windowUpdated on November 28, 2011

November 25, 2011

Notice of Amendments : Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new windowUpdated on November 25, 2011
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on February 28, 2012Registration (official consolidated version)
In force from July 11, 2011 to February 27, 2012
 

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 543 KB)This link will open in a new windowUpdated on February 28, 2012"31-103,Registration,Requirements,Exemptions,Registrant,Obligations" (consolidated version)
In force from July 11, 2011 to February 27, 2012

July 8, 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new windowUpdated on July 11, 2011
In force on July 11, 2011

July 8, 2011

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 7 MB)This link will open in a new windowUpdated on July 11, 2011
In force on July 11, 2011

June 24, 2011

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new windowUpdated on June 28, 2011

June 24, 2011

Draft amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new windowUpdated on June 28, 2011

June 24, 2011

Notice of and request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and draft amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions - Cost Disclosure and Performance Reporting (pdf - 7 MB)This link will open in a new windowUpdated on June 28, 2011

May 13, 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 11 MB)This link will open in a new windowUpdated on May 16, 2011

May 13, 2011

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 11 MB)This link will open in a new windowUpdated on May 16, 2011

May 13, 2011

Notice and request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and dreft amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions - Exemption from certain requirements for SRO Members (pdf - 11 MB)This link will open in a new windowUpdated on May 16, 2011

April 15, 2011

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 8 MB)This link will open in a new windowUpdated on April 18, 2011

April 15, 2011

Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 8 MB)This link will open in a new windowUpdated on April 18, 2011 

April 15, 2011

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 8 MB)This link will open in a new windowUpdated on April 15, 2011
 

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 836 KB)This link will open in a new windowUpdated on July 11, 2011 (consolidated administrative version)
In force from January 1, 2011 to July 10, 2011
 

Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 2 MB)This link will open in a new windowUpdated on July 11, 2011 (consolidated administrative version)
In force from January 1, 2011 to July 10, 2011

December 17, 2010

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 18 MB)This link will open in a new windowUpdated on December 20, 2010 (concordant to Regulation 52-107)
In force on January 1, 2011

December 17, 2010

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 18 MB)This link will open in a new windowUpdated on December 20, 2010 (concordant to Regulation 52-107)
In force on January 1, 2011

October 15, 2010

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 5 MB)This link will open in a new windowUpdated on April 19, 2011

October 15, 2010

Draft Amendements to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 5 MB)This link will open in a new windowUpdated on April 19, 2011

October 15, 2010

Notice of and request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and draft amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions - Registration of International and Certain Domestic Investment Fund Managers (pdf - 5 MB)This link will open in a new windowUpdated on April 19, 2011

October 1, 2010

Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 12 MB)This link will open in a new windowUpdated on April 19, 2011 (concordant to Regulation 52-107)

October 1, 2010

Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 12 MB)This link will open in a new windowUpdated on April 19, 2011 (concordant to Regulation 52-107)

October 1, 2010

Notice of publication: Regulation to amend Regulation 31-103 respecting Registration Requirements and
Exemptions; Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Regulation to amend Regulation 33-109 respecting Registration Information (pdf - 12 MB)This link will open in a new windowUpdated on October 1st, 2010

July 9, 2010

Erratum: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 13 KB)This link will open in a new windowUpdated on July 12, 2010

June 25, 2010

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new windowUpdated on June 28, 2010

 

 

June 25, 2010

Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new windowUpdated on June 28, 2010

 

 

June 25, 2010

Notice of and request for comment: Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and draft amendments to Policy Statement to Regulation 31-103 respecting
Requirements and Exemptions (pdf - 3 MB)This link will open in a new windowUpdated on June 28, 2010

March 12, 2010

Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new windowUpdated on March 17, 2010 (concordant to Regulation 52-107)

March 12, 2010

Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new windowUpdated on March 17, 2010 (concordant to Regulation 52-107)

October 23, 2009

Autorité des marchés financiers and New Brunswick Securities Commission Staff Notice on Proposed Changes to: Regulation 31-103 respecting Registration Requirements and Exemptions; Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Regulation 33-109 respecting Registration Information (pdf - 2 MB)This link will open in a new windowUpdated on March 17, 2010
 

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 588 KB)This link will open in a new windowUpdated on January 26, 2011 (administrative version)
In force from September 28, 2009 to December 31, 2010
 

Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 765 KB)This link will open in a new windowUpdated on January 27, 2011 (administrative version)
In force from September 28, 2009 to December 31, 2010

September 25, 2009

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new windowUpdated on November 17, 2009
In force on September 28, 2009

September 25, 2009

Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new windowUpdated on November 17, 2009
In force on September 28, 2009

July 17, 2009

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 6 MB)This link will open in a new windowUpdated on July 22, 2009

July 17, 2009

Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 6 MB)This link will open in a new windowUpdated on July 22, 2009

July 17, 2009

Notice: Regulation 31-103 respecting Registration Requirements and Exemptions; Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Consequential Amendments (pdf - 6 MB)This link will open in a new windowUpdated on July 17, 2009

February 29, 2008

Draft Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new windowUpdated on November 17, 2009

February 29, 2008

Draft Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 7 MB)This link will open in a new windowUpdated on November 17, 2009

February 29, 2008

Notice and Request for Comment: Proposed Regulation 31-103 respecting Registration Requirements;
Proposed Policy Statement to Regulation 31-103 respecting Registration Requirements and Proposed Consequential Amendments (pdf - 7 MB)This link will open in a new windowUpdated on November 17, 2009

February 23, 2007

Draft Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 4 MB)This link will open in a new windowUpdated on November 17, 2009

February 23, 2007

Draft Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 4 MB)This link will open in a new windowUpdated on November 17, 2009

February 23, 2007

Notice and Request for Comment: Draft Regulation 31-103 respecting Registration Requirements; Draft Policy Statement to Regulation 31-103 respecting Registration Requirements and Draft amendments to Regulation 33-109 respecting Registration Information (pdf - 4 MB)This link will open in a new windowUpdated on November 17, 2009