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

Warning

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

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
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 4 February 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 4 February 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 6 August 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 6 August 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 1st October 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 5 March 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 5 March 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 5 March 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 - 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. (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 20 January 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 9 January 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 9 January 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 2 October 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 2 October 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 3 October 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 12 June 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 5 June 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 14 March 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 14 March 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 14 March 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 14 March 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 25 October 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 25 October 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 12 September 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 20 June 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 20 June 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 21 June 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 11 June 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 13 June 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 30 May 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 28 March 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 28 March 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 29 March 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 1st March 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 28 May 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 1st December 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 1st December 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 29 November 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 29 November 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 26 July 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 26 July 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 27 July 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 29 June 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 29 June 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 20 September 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 7 July 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 7 July 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 7 July 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 11 July 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 15 July 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 1st December 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 12 January 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 12 January 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 16 October 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 16 October 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 29 September 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 11 January 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 14 July 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 14 July 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 24 April 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 24 April 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 17 December 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 17 December 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 29 September 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 5 December 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 5 December 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 5 December 2013
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on 29 April 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 6 May 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 11 July 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 11 July 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 15 July 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 30 May 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 27 March 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 27 March 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 29 September 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 13 March 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 14 March 2013Designated Rating Organizations
 

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 15 July 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 26 September 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 27 July 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 27 July 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 5 July 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 18 June 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 18 June 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 18 June 2012
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on 31 May 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 27 February 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 27 February 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 27 February 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 13 February 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 28 November 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 28 November 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 25 November 2011
 

Regulation 31-103 respecting Registration Requirements, Exemption and Ongoing Registrant Obligations (pdf - 2 MB)This link will open in a new windowUpdated on 28 February 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 28 February 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 11 July 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 11 July 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 28 June 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 28 June 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 28 June 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 16 May 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 16 May 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 16 May 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 18 April 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 18 April 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 15 April 2011
 

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 836 KB)This link will open in a new windowUpdated on 11 July 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 11 July 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 20 December 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 20 December 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 19 April 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 19 April 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 19 April 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 19 April 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 19 April 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 1st October 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 12 July 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 28 June 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 28 June 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 28 June 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 17 March 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 17 March 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 17 March 2010
 

Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 588 KB)This link will open in a new windowUpdated on 26 January 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 27 January 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 17 November 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 17 November 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 22 July 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 22 July 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 17 July 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 17 November 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 17 November 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 17 November 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 17 November 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 17 November 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 17 November 2009