Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments

Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments

Notice of Ministerial Approval National Instrument
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NOTICE OF MINISTERIAL APPROVAL OF AMENDMENTS TO NATIONAL INSTRUMENT 31-103
REGISTRATION REQUIREMENTS, EXEMPTIONS AND ONGOING REGISTRANT OBLIGATIONS
AND RELATED INSTRUMENTS

 

 

 

 

 

 

 

On December 18, 2014, the Minister of Finance approved amendments (the Amendments) made by the Ontario Securities Commission (OSC or Commission) to:

 

 

• National Instrument (NI) 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related forms

• NI 33-109 Registration Information and related forms

• NI 52-107 Acceptable Accounting Principles and Auditing Standards

• OSC Rule 33-506 (Commodity Futures Act) Registration Information and related forms

• OSC Rule 35-502 Non-Resident Advisers

• NI 23-102 Use of Client Brokerage Commissions

• NI 24-101 Institutional Trade Matching and Settlement

• NI 81-107 Independent Review Committee for Investment Funds

• OSC Rule 91-501 Strip Bonds

• OSC Rule 91-502 Trades in Recognized Options

The Amendments were made by the Commission on September 23, 2014. The Amendments were published in the Supplement to the October 16, 2014 OSC Bulletin and are published in Chapter 5 of this Bulletin. The Amendments came into force on January 11, 2015 (or, will come into force six months later in the case of the amendments adding new restrictions on trading activities by exempt market dealers).

On September 23, 2014, the Commission also adopted related amendments to:

• Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations

• Companion Policy 33-109CP Registration Information

• Companion Policy 45-501CP Ontario Prospectus and Registration Exemptions

• Companion Policy 52-107CP Acceptable Accounting Principles and Auditing Standards

• Companion Policy 33-506CP (Commodity Futures Act) Registration Information

These amendments also became effective on January 11, 2015 (or, will become effective six months later in the case of the amendments related to the new restrictions on trading activities by exempt market dealers). These amendments were also published in the Supplement to the October 16, 2014 OSC Bulletin and are published in Chapter 5 of this Bulletin.