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 March 12, 2015Harmonization (March 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 windowUpdated on February 25, 2011Guidance Relating to the Registration Obligations of Mortgage Investment Entitities (February 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 windowUpdated on January 17, 2013Investement Management (January 17, 2013) 
• CSA Staff Notice 31-334: CSA Review of Relationship Disclosure Practices (pdf - 172 KB)This link will open in a new windowUpdated on July 18, 2013Review of Relationship Disclosure Practices (July 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 - 216 KB)This link will open in a new windowUpdated on September 25, 2020Know-Your-Client, Know-Your-Product and Suitability Obligations (January 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 - 93 KB)This link will open in a new windowUpdated on September 25, 2020Dispute Resolution Services Client Disclosure. (May 1, 2014)
• 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 April 7, 2016OBSI Joint Regulators Committee Annual Report (April 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 windowUpdated on April 14, 2016Cost Disclosure, Performance Reporting and Client Statements(April 14, 2016)
• 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 September 28, 2020 (May 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 - 137 KB)This link will open in a new windowUpdated on September 29, 2020regulatory framework for dealers, advisers and investment fund managers (October 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 - 118 KB)This link will open in a new windowUpdated on September 29, 2020Dispute Resolution Services - Dispute Resolution Services (December 19, 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 March 14, 2013Designated Rating Organizations (March 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 - 151 KB)This link will open in a new windowUpdated on September 29, 2020Cost Disclosure, Performance Reporting and Client Statements 
• 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 November 25, 2011 (November 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 windowUpdated on April 15, 2011 (April 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 windowUpdated on October 1^st, 2010 (October 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 windowUpdated on July 17, 2009 (July 17, 2009)