3- Registration and Related Matters

CSA Staff Notice 31-317 (revised) : Reporting Obligations Related to Terrorist Financing for Registrants, Exempt International Dealers, and Exempt International Advisers (pdf - 84 KB)This link will open in a new windowJuly 30, 2010

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 31-325: Marketing Practices of Portfolio Managers (pdf - 153 KB)This link will open in a new windowJuly 5, 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-Client, 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 31-341: Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 59 KB)This link will open in a new windowMay 21, 2015

CSA Staff Notice 31-342: Guidance for Portfolio Managers Regarding Online Advice (pdf - 82 KB)This link will open in a new windowSeptember 24, 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 windowNovember 19, 2015

CSA Staff Notice 31-344: OSBI 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 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 windowSeptember 1, 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 windowNovember 17, 2016

CSA Staff Notice 31-348: OBSI Joint Regulators Committee Annual Report for 2016 (pdf - 72 KB)This link will open in a new windowMarch 23, 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 windowJuly 13, 2017

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

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 windowMarch 26, 2015

CSA Staff Notice 33-305: Sale of Insurance Products by Dually Employed Salespersons (pdf - 9 KB)This link will open in a new windowJanuary 7, 2000

CSA Staff Notice 33-315 : Suitability Obligation and Know Your Product (pdf - 52 KB)This link will open in a new windowSeptember 2, 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 - 150 KB)This link will open in a new windowDecember 17, 2013

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 windowMarch 31, 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 windowDecember 15, 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 33-320: The Requirement for True and Complete Applications for Registration (pdf - 85 KB)This link will open in a new windowJuly 13, 2017