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 31-325: Marketing Practices of Portfolio Managers (pdf - 153 KB)This link will open in a new windowUpdated on 5 July 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-Client, 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 2015

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: OSBI 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 1^st 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

CSA Staff Notice 31-348: OBSI Joint Regulators Committee Annual Report for 2016 (pdf - 72 KB)This link will open in a new windowUpdated on 23 March 2017

CSA Staff Notice 31-349: Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions (pdf - 132 KB)This link will open in a new windowUpdated on 13 July 2017

CSA Staff Notice 31-350 : Guidance on Small Firms Compliance and Regulatory Obligations (pdf - 85 KB)This link will open in a new windowUpdated on 18 May 2017

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 31-352: Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations (pdf - 235 KB)This link will open in a new windowUpdated on 22 February 2018

CSA Staff Notice 31-353: OBSI Joint Regulators Committee Annual Report for 2017 (pdf - 79 KB)This link will open in a new windowUpdated on 28 March 2018

CSA Staff Notice 31-354: Suggested Practices for Engaging with Older or Vulnerable Clients (pdf - 186 KB)This link will open in a new windowUpdated on 18 June 2019

CSA Staff Notice 31-355: OBSI Joint Regulators Committee Annual Report for 2018 (pdf - 245 KB)This link will open in a new windowUpdated on 15 August 2019

CSA Staff Notice 31-356 – Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision (pdf - 222 KB)This link will open in a new windowUpdated on 21 August 2019

CSA Notice 31-357 Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 61 KB)This link will open in a new windowUpdated on 16 April 2020

• Décision n° 2020-PDG-0030 (pdf - 47 KB)This link will open in a new windowUpdated on 16 April 2020Décision générale relative à une dispense de certaines obligations du Règlement 31-103. : Décision générale relative à une dispense de certaines obligations du Règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites (Available in french only)
• Décision n° 2020-PDG-0031 (pdf - 55 KB)This link will open in a new windowUpdated on 16 April 2020Décision générale relative à une dispense de certaines obligations du Règlement 31-103 en lien avec la COVID-19. : Décision générale relative à une dispense de certaines obligations du Règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites (Available in french only)

CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments (pdf - 99 KB)This link will open in a new windowUpdated on 2 July 2020

CSA Staff Notice 31-359: OBSI Joint Regulators Committee Annual Report for 2019 (pdf - 69 KB)This link will open in a new windowUpdated on 27 August 2020

CSA Notice 31-360: Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 47 KB)This link will open in a new windowUpdated on 23 June 2021Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option.

• DÉCISION N° 2021-PDG-0032 : Décision générale relative à une dispense transitoire concernant l’élimination de l’option des frais d’acquisition reportés et les dispositions du Règlement 31-103 sur les obligations et dispenses d’inscription et les obligations continues des personnes inscrites introduites par les réformes axées sur le client afin de rehausser les obligations en matière de conflits d’intérêts et de convenance au client (pdf - 47 KB)This link will open in a new windowUpdated on 21 June 2021Dispense transitoire concernant l’élimination de l’option des frais d’acquisition reportés et les dispositions du Règlement 31-103. (Available in french only)

CSA Staff Notice 31-362: OBSI Joint Regulators Committee Annual Report for 2021 (pdf - 478 KB)This link will open in a new windowUpdated on 3 November 2022

 

Joint Canadian Securities Administrators / Canadian Investment Regulatory Organization Staff Notice 31-363: Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance (pdf - 436 KB)This link will open in a new windowUpdated on 3 August 2023

 

CSA Staff Notice 32-301: Omnibus/Blanket Orders Exempting Certain U.S. Broker-Dealers and U.S. Advisers from the Requirement to Register in Respect of Trades and Advice for U.S. Resident Clients (pdf - 52 KB)This link will open in a new windowUpdated on 26 March 2015

CSA Staff Notice 33-315 : Suitability Obligation and Know Your Product (pdf - 52 KB)This link will open in a new windowUpdated on 2 September 2009

CSA Staff Notice 33-316 Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients (pdf - 162 KB)This link will open in a new windowUpdated on 25 September 2020

CSA Staff Notice 33-317: Next Steps in the CSA's Work to Enhance the Obligations of Advisers, Dealers and REpresentatives Toward Their Clients (pdf - 61 KB)This link will open in a new windowUpdated on 31 March 2016

CSA Staff Notice 33-318: Review of Practices Firms Use to Compensate and Provide Incentivesto their Representatives (pdf - 81 KB)This link will open in a new windowUpdated on 15 December 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 windowUpdated on 11 May 2017

CSA Staff Notice 33-320: The Requirement for True and Complete Applications for Registration (pdf - 85 KB)This link will open in a new windowUpdated on 13 July 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