July 8, 2011 Publication:

• 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
• Policy Statement to Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 7 MB)This link will open in a new windowUpdated on 11 July 2011
• Regulation to amend Regulation 33-109 Respecting Registration Information (pdf - 7 MB)This link will open in a new windowUpdated on 11 July 2011
• Policy Statement to Regulation 33-109 respecting Registration Information (pdf - 7 MB)This link will open in a new windowUpdated on 11 July 2011

April 15, 2011 Publication:

• Notice of publication (pdf - 8 MB)This link will open in a new windowUpdated on 15 April 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
• 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
  • Unofficial blacklined version of Policy Statement to Regulation 31-103 respencting Registration Requirements, Exemptions and Ongoing Registrant Obligations, showing proposed changes (pdf - 8 MB)This link will open in a new windowUpdated on 18 April 2011
• Regulation to amend Regulation 33-109 Respecting Registration Information (pdf - 8 MB)This link will open in a new windowUpdated on 18 April 2011
• Policy Statement to Regulation 33-109 respecting Registration Information (pdf - 8 MB)This link will open in a new windowUpdated on 18 April 2011
  • Unofficial blacklined version of Policy Statement to Regulation 33-109 respecting Registration Information, showing proposed changes (pdf - 8 MB)This link will open in a new windowUpdated on 18 April 2011

Documents for consultation

June 22, 2011 Publication:

• Notice 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 - 196 KB)This link will open in a new windowUpdated on 22 June 2011 
• Draft Regulation to amend Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 145 KB)This link will open in a new windowUpdated on 22 June 2011
• Draft Amendments to Policy Statement to Regulation 31-103 respecting Registration Requirements and Exemptions (pdf - 153 KB)This link will open in a new windowUpdated on 22 June 2011
• Performance Report Testing prepared by Allen Research Corporation (pdf - 343 KB)This link will open in a new windowUpdated on 21 June 2011 (February 2011)
• Report on Performance Reporting and Cost Disclosure prepared by The Brondesbury Group (pdf - 433 KB)This link will open in a new windowUpdated on 21 June 2011 (August 2010)

End of consultation: September 23, 2011

Comments received (comments are published in their original language) :

• Association des Banquiers Canadiens (pdf - 379 KB)This link will open in a new windowUpdated on 24 October 2011
• Association of Canadian Compliance Professionals (pdf - 262 KB)This link will open in a new windowUpdated on 24 October 2011
• Advocis (pdf - 67 KB)This link will open in a new windowUpdated on 24 October 2011
• Alternative Investment Management Association (pdf - 77 KB)This link will open in a new windowUpdated on 24 October 2011
• Alain Richard (pdf - 183 KB)This link will open in a new windowUpdated on 25 October 2011
• Banque Laurentienne (pdf - 102 KB)This link will open in a new windowUpdated on 24 October 2011
• Banque Nationale (pdf - 2 MB)This link will open in a new windowUpdated on 24 October 2011
• Borden Ladner Gervais (pdf - 350 KB)This link will open in a new windowUpdated on 24 October 2011
• Banque de Montréal (pdf - 281 KB)This link will open in a new windowUpdated on 24 October 2011
• Brandes Investment Partners (pdf - 52 KB)This link will open in a new windowUpdated on 24 October 2011
• Burgeonvest Bick Securities Limited (pdf - 87 KB)This link will open in a new windowUpdated on 25 October 2011
• Canfin Financial Group (PDF - 164 KB)This link will open in a new windowUpdated on 24 October 2011
• Capital International (PDF - 62 KB)This link will open in a new windowUpdated on 24 October 2011
• CIBC (pdf - 419 KB)This link will open in a new windowUpdated on 24 October 2011
• Desjardins (pdf - 2 MB)This link will open in a new windowUpdated on 23 September 2011
• Dundee Wealth (pdf - 86 KB)This link will open in a new windowUpdated on 24 October 2011
• Edward Jones (pdf - 85 KB)This link will open in a new windowUpdated on 24 October 2011
• FAIR - Canadian Foundation for Advancement of Investor Rights (pdf - 600 KB)This link will open in a new windowUpdated on 24 October 2011
• Fidelity Investments (pdf - 104 KB)This link will open in a new windowUpdated on 24 October 2011
• Federation of Mutual Fund Dealers (pdf - 181 KB)This link will open in a new windowUpdated on 24 October 2011
• Franklin Templeton (pdf - 171 KB)This link will open in a new windowUpdated on 24 October 2011
• Global Securities Corporation (pdf - 114 KB)This link will open in a new windowUpdated on 21 October 2011
• GP Wealth Management (pdf - 49 KB)This link will open in a new windowUpdated on 21 October 2011
• Horizons Exchange Traded Funds (pdf - 118 KB)This link will open in a new windowUpdated on 24 October 2011
• Highstreet Asset Management (pdf - 76 KB)This link will open in a new windowUpdated on 24 October 2011
• Independent Accountants' Investment Group Inc. (pdf - 163 KB)This link will open in a new windowUpdated on 24 October 2011
• Independent Financial Brokers of Canada (pdf - 324 KB)This link will open in a new windowUpdated on 24 October 2011
• The Investment Funds Institute of Canada (pdf - 394 KB)This link will open in a new windowUpdated on 24 October 2011
• Investment Industry Association of Canada (pdf - 276 KB)This link will open in a new windowUpdated on 24 October 2011
• Independent Planning Group (Anne Valenti) (pdf - 435 KB)This link will open in a new windowUpdated on 24 October 2011
• Independent Planning Group (Carol Clements) (pdf - 359 KB)This link will open in a new windowUpdated on 24 October 2011
• Independent Planning Group (Gerry Myers) (pdf - 471 KB)This link will open in a new windowUpdated on 25 October 2011
• Independent Planning Group (Nathalie Terreault) (pdf - 170 KB)This link will open in a new windowUpdated on 25 October 2011
• Independent Planning Group (Ronald Harvey) (pdf - 299 KB)This link will open in a new windowUpdated on 25 October 2011
• Independent Planning Group (Sonia LeRoy) (pdf - 284 KB)This link will open in a new windowUpdated on 25 October 2011
• Independent Planning Group (Thomas Mills) (pdf - 1 MB)This link will open in a new windowUpdated on 24 October 2011
• Manulife Securities (pdf - 273 KB)This link will open in a new windowUpdated on 24 October 2011
• MD Physician Services (pdf - 110 KB)This link will open in a new windowUpdated on 24 October 2011
• Mérici Services Financiers (pdf - 379 KB)This link will open in a new windowUpdated on 24 October 2011
• Montcalm & Associates Financial Group (pdf - 431 KB)This link will open in a new windowUpdated on 25 October 2011
• P. Kelleher (pdf - 422 KB)This link will open in a new windowUpdated on 24 October 2011
• PEAK
• Planifax (pdf - 273 KB)This link will open in a new windowUpdated on 25 October 2011
• Portfolio Management Association of Canada (pdf - 307 KB)This link will open in a new windowUpdated on 24 October 2011
• Primerica (pdf - 109 KB)This link will open in a new windowUpdated on 24 October 2011
• Queensbury Securities (pdf - 80 KB)This link will open in a new windowUpdated on 24 October 2011
• Royal Bank of Canada (pdf - 48 KB)This link will open in a new windowUpdated on 24 October 2011
• RESP Dealers Association of Canada (pdf - 86 KB)This link will open in a new windowUpdated on 24 October 2011
• Robin Cornwell (pdf - 704 KB)This link will open in a new windowUpdated on 21 October 2011
• Scotia Bank Group (pdf - 704 KB)This link will open in a new windowUpdated on 21 October 2011
• Steadyhand (pdf - 111 KB)This link will open in a new windowUpdated on 24 October 2011
• Success Strategies Financial (pdf - 255 KB)This link will open in a new windowUpdated on 24 October 2011
• TD Bank (pdf - 763 KB)This link will open in a new windowUpdated on 24 October 2011
• TK Financial Group (pdf - 59 KB)This link will open in a new windowUpdated on 25 October 2011
• Tradex (pdf - 327 KB)This link will open in a new windowUpdated on 21 October 2011
• Worldsource (pdf - 1 MB)This link will open in a new windowUpdated on 24 October 2011

May 13, 2011 Publication:

• Notice 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 - Exemptions from certain requirements for SRO Members (pdf - 11 MB)This link will open in a new windowUpdated on 16 May 2011
• Draft Regulation to amend Regulation 31-103 respecting Registrant Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 11 MB)This link will open in a new windowUpdated on 16 May 2011
• Draft Amendments to Policy Statement to Regulation 31-103 respecting Registrant Requirements, Exemptions and Ongoing Registrant Obligations (pdf - 11 MB)This link will open in a new windowUpdated on 16 May 2011

End of consultation: July 18, 2011

October 15, 2010 Publication:

• 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
• 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
• Amendments 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
• CSA Notice 31-320: Additional Request for Comment by the Autorité des marchés financiers and the Ontario Securities Commission on proposed exemptions from investment fund manager registration requirement for international and certain domestic investment fund managers (pdf - 5 MB)This link will open in a new windowUpdated on 19 April 2011 

End of consultation : January 13, 2011

June 25, 2010 Publication:

• Notice of and request for comment dated June 25, 2010 (pdf - 3 MB)This link will open in a new windowUpdated on 28 June 2010
• 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
  • Unofficial blacklined version of Regulation 31-103 Registration Requirements and Exemptions, showing proposed changes (pdf - 317 KB)This link will open in a new windowUpdated on 12 July 2010
• Amendments to Policy Statement to Regulation 31-103 Registration Requirements and Exemptions (pdf - 3 MB)This link will open in a new windowUpdated on 28 June 2010
  • Unofficial blacklined version of Policy Statement to Regulation 31-103 Registration Requirements and Exemptions, showing proposed changes (pdf - 3 MB)This link will open in a new windowUpdated on 28 June 2010
• Regulation to amend Regulation 33-109 Respecting Registration Information (pdf - 3 MB)This link will open in a new windowUpdated on 28 June 2010
  • Unofficial blacklined version of Regulation 33-109 Respecting Registration Information showing proposed changes (pdf - 475 KB)This link will open in a new windowUpdated on 29 June 2010
• Amendments to Policy Statement to Regulation 33-109 respecting Registration Information (pdf - 3 MB)This link will open in a new windowUpdated on 28 June 2010
  • Unofficial blacklined version of Policy Statement to Regulation 33-109 respecting Registration Information, showing proposed changes (pdf - 68 KB)This link will open in a new windowUpdated on 29 June 2010

Feedback

August 25, 2010	Mouvement d'éducation et de défense des actionnaires (pdf - 128 KB)This link will open in a new windowUpdated on 25 August 2010 (Available in french only) Mémoire (pdf - 600 KB)This link will open in a new windowUpdated on 25 August 2010  (Available in french only)
September 27, 2010	Nexus Investment Management (pdf - 50 KB)This link will open in a new windowUpdated on 27 September 2010
September 27, 2010	Advocis (pdf - 58 KB)This link will open in a new windowUpdated on 27 September 2010
September 27, 2010	CSI (pdf - 113 KB)This link will open in a new windowUpdated on 30 September 2010
September 28, 2010	Alternative Investment Management Association (pdf - 84 KB)This link will open in a new windowUpdated on 28 September 2010
September 28, 2010	Canadian Investor Protection Fund (pdf - 202 KB)This link will open in a new windowUpdated on 28 September 2010
September 29, 2010	Chambre de la sécurité financière (pdf - 102 KB)This link will open in a new windowUpdated on 29 September 2010 (Available in french only)
September 29, 2010	RESP Dealers Association of Canada (pdf - 182 KB)This link will open in a new windowUpdated on 29 September 2010
September 29, 2010	CI Investments (pdf - 102 KB)This link will open in a new windowUpdated on 29 September 2010
September 30, 2010	Borden Ladner Gervais (pdf - 214 KB)This link will open in a new windowUpdated on 22 October 2010
September 30, 2010	Manulife Securities (pdf - 401 KB)This link will open in a new windowUpdated on 30 September 2010
September 30, 2010	RBC (pdf - 55 KB)This link will open in a new windowUpdated on 30 September 2010
September 30, 2010	Canadian Bankers Association (pdf - 511 KB)This link will open in a new windowUpdated on 30 September 2010Image
September 30, 2010	Desjardins (pdf - 1,012 KB)This link will open in a new windowUpdated on 30 September 2010 (Available in french only)
September 30, 2010	Independent Financial Brokers of Canada (pdf - 75 KB)This link will open in a new windowUpdated on 30 September 2010
September 30, 2010	Edward Jones (pdf - 68 KB)This link will open in a new windowUpdated on 22 October 2010
September 30, 2010	Stonegate (pdf - 280 KB)This link will open in a new windowUpdated on 30 September 2010
September 30, 2010	Irwin White Jennings (pdf - 37 KB)This link will open in a new windowUpdated on 30 September 2010
September 30, 2010	Rogers Group Financial (pdf - 840 KB)This link will open in a new window
September 30, 2010	Osler Hoskin Harcourt (pdf - 189 KB)This link will open in a new windowUpdated on 1st October 2010
September 30, 2010	Gestion Universitas (pdf - 154 KB)This link will open in a new windowUpdated on 30 September 2010 (Available in french only)
September 30, 2010	Canadian Foundation for Advancement of Investor Rights (pdf - 416 KB)This link will open in a new windowUpdated on 1st October 2010
October 1, 2010	Investment Funds Institute of Canada (pdf - 466 KB)This link will open in a new windowUpdated on 1st October 2010
October 6, 2010	Fidelity Investments (pdf - 87 KB)This link will open in a new windowUpdated on 13 October 2010
October 8, 2010	IGM Financial (pdf - 240 KB)This link will open in a new windowUpdated on 8 October 2010