- Regulation 31-103 (pdf - 576 KB)This link will open in a new window
Last amendements in force on July 15, 2016 - Policy Statement to Regulation 31-103 (pdf - 765 KB)This link will open in a new window
Last amendments in force on January 11, 2015
Notice related to Regulation 31-103
CSA Staff Notice
- CSA Staff Notice 11-328: Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon (pdf - 68 KB)This link will open in a new windowMarch 12, 2015
- CSA Staff Notice 31-323: Guidance Relating to the Registration Obligations of Mortgage Investment Entitities (pdf - 48 KB)This link will open in a new windowFebruary 25, 2011
- CSA Staff Notice 31-332: Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives or Portfolio Managers (pdf - 67 KB)This link will open in a new windowJanuary 17, 2013
- CSA Staff Notice 31-334: CSA Review of Relationship Disclosure Practices (pdf - 172 KB)This link will open in a new windowJuly 18, 2013
- CSA Staff Notice 31-336: Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Clkient, Know-Your-Product and Suitability Obligations (pdf - 210 KB)This link will open in a new windowJanuary 9, 2014
- CSA Staff Notice 31-338 Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization (pdf - 88 KB)This link will open in a new windowMay 1, 2014
- CSA Staff Notice 31-339: Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 51 KB)This link will open in a new windowMay 29, 2014
- CSA Staff Notice 31-344: OBSI Joint Regulators Committee Annual Report for 2015 (pdf - 63 KB)This link will open in a new windowApril 7, 2016
- CSA Staff Notice 31-345: Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance (pdf - 168 KB)This link will open in a new windowApril 14, 2016
- CSA Staff Notice 33-319: Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients (pdf - 167 KB)This link will open in a new windowMay 11, 2017
- CSA Staff Notice 45-304 (revised): Notice of Local Exemption Related to Regulation 45-106 respecting Prospectus Exemptions and Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 84 KB)This link will open in a new windowMay 21, 2015
Notice of publication
- 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 - 129 KB)This link will open in a new windowOctober 16, 2014
- 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 (pdf - 113 KB)This link will open in a new windowDecember 19, 2013 - Dispute Resolution Services
- 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 windowMarch 14, 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 - 146 KB)This link will open in a new windowMarch 28, 2013
- Notice of Amendments : 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, Exemptions and Ongoing Registrant Obligations (pdf - 3 MB)This link will open in a new windowNovember 25, 2011
- Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions and Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Regulation to amend Regulation 33-109 respecting Registration Information and Policy Statement to Regulation 33-109 respecting Registration Information (pdf - 8 MB)This link will open in a new windowApril 15, 2011
- 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 windowOctober 1, 2010
- Notice of publication : Regulation 31-103 respecting Registration Requirements and Exemptions and Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions and Consequential Amendments (pdf - 6 MB)This link will open in a new windowJuly 17, 2009