Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (V-1.1, r. 10)
- Regulation 31-103 (pdf - 705 KB)This link will open in a new windowUpdated on 30 December 2020Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations in force since December 31, 2019
Last amendements in force on December 31, 2020
The Canadian Securities Administrators (CSA) published on April 16, 2020 a relief order This link will open in a new window that provides until June 30, 2021 to registrants for complying with the amendments to Part 13 of Regulation 31-103 related to conflicts of interest introduced by the Client Focused Reforms. A second relief order This link will open in a new window provides until December 31, 2021 to registrants for complying with the amendments to Part 14 of Regulation 31-103 related the relationship disclosure, at the same time as all other remaining Client Focused Reforms are in force.
Both relief orders are conditional on the registrant complying with those provisions of Part 13 and Part 14 of Regulation 31-103 as they read on December 30, 2020 (pdf - 3 MB)This link will open in a new windowUpdated on 8 January 2020Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations in force since December 31, 2019..
End of the warning- Policy Statement to Regulation 31-103 (pdf - 855 KB)This link will open in a new windowUpdated on 30 December 2020Consolidated version of Policy Statement to Regulation 31-103
Last amendments in force on December 31, 2020 - Client Focused Reforms - Frequently Asked Questions (pdf - 230 KB)This link will open in a new windowUpdated on 18 December 2020Client Focused Reforms: Frequently Asked Questions
Notice related to Regulation 31-103
AMF Notice
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 windowUpdated on 12 March 2015
- CSA Staff Notice and Request for Comment 21-315 : Next steps in Regulation and Transparency of the Fixed Income Market (pdf - 102 KB)This link will open in a new windowUpdated on 17 September 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 windowUpdated on 25 February 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 windowUpdated on 17 January 2013
- CSA Staff Notice 31-334: CSA Review of Relationship Disclosure Practices (pdf - 172 KB)This link will open in a new windowUpdated on 18 July 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 - 216 KB)This link will open in a new windowUpdated on 25 September 2020
- 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 - 93 KB)This link will open in a new windowUpdated on 25 September 2020
- CSA Staff Notice 31-342: Guidance for Portfolio Managers Regarding Online Advice (pdf - 82 KB)This link will open in a new windowUpdated on 24 September 2015Online Advice
- CSA Staff Notice 31-343: Conflicts of interest in distributing securities of related or connected issuers (pdf - 83 KB)This link will open in a new windowUpdated on 19 November 2015
- CSA Staff Notice 31-344: OBSI Joint Regulators Committee Annual Report for 2015 (pdf - 63 KB)This link will open in a new windowUpdated on 7 April 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 windowUpdated on 14 April 2016
- CSA Staff Notice 31-346: Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers (pdf - 73 KB)This link will open in a new windowUpdated on 1st September 2016
- CSA Staff Notice 31-347: Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members (pdf - 110 KB)This link will open in a new windowUpdated on 17 November 2016
- Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with requirements regarding the Ombudsman for Banking Services and Investments (pdf - 92 KB)This link will open in a new windowUpdated on 7 December 2017
- 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 windowUpdated on 11 May 2017
- CSA Staff Notice 33-321: Cyber Security and Social Media (pdf - 460 KB)This link will open in a new windowUpdated on 19 October 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 - 91 KB)This link will open in a new windowUpdated on 28 September 2020
Notice of publication
- CSA Notice of Publication:Amendments relating to Syndicated Mortgages (pdf - 251 KB)This link will open in a new windowUpdated on 1st October 2020
- CSA Notice of Publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms) (pdf - 292 KB)This link will open in a new windowUpdated on 3 October 2019
- CSA Notice of Publication: Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments (pdf - 55 KB)This link will open in a new windowUpdated on 14 March 2019
- CSA Notice of Regulation to amend Regulation 45-102 respecting Resale of Securities (pdf - 181 KB)This link will open in a new windowUpdated on 28 March 2018
- CSA Notice of publication of amendments relating to Designated rating organizations (pdf - 90 KB)This link will open in a new windowUpdated on 29 March 2018
- 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 27 July 2017
- 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 29 September 2020
- 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 - 118 KB)This link will open in a new windowUpdated on 29 September 2020 - 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 windowUpdated on 14 March 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 29 September 2020
- 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 windowUpdated on 25 November 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 windowUpdated on 15 April 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 windowUpdated on 1st October 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 windowUpdated on 17 July 2009