Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Instruments
Documents d'Instruments, règles et politiques
Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017
Documents d'Instruments, règles et politiques
Notice of Ministerial Approval of Amendments to NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102, NI 81-106 and OSC Rule 33-506
Documents d'Instruments, règles et politiques
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
Client Focused Reforms - Proposed Amendments to National Instrument 31-103 and Companion Policy NI 31-103CP
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CSA Notice and Request for Comment - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments
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CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations - Custody-Related Amendments
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Final Rule (effective September 4, 1997): OSC Rule - 35-502 - Non-Resident Advisers
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OSC Staff Notice: 35-704 - (Commodity Futures Act) Non-Resident Advisers
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OSC Staff Notice: 33-740 - Report on the results of the 2012 targeted review of portfolio managers and exempt market dealers to assess compliance with the know-your-client, know-your-product and suitability obligations
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-741 - Report on the Results of the Reviews of Capital Markets Participation Fees
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-742 - 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-743 - Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-744 - Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario)
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OSC Staff Notice: 33-745 - 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
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OSC Staff Notice: 33-746 - 2015 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-747 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-748 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
