2020 Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
CSA Staff Notice 31-359 – OBSI Joint Regulators Committee Annual Report for 2019
Documents d'Instruments, règles et politiques
CSA Notice 31-357 – Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
OSC Notice of General Order – Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
OSC Notice of General Order – Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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Proposed OSC Rule 32-506 (Under the Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers – Proposed Amendment to OSC Rule 91-502 Trades in Recognized Options under the Securities Act
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 35-101F1 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Broker-Dealer
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 Companion Policy 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Client
Documents d'Instruments, règles et politiques
Notice of General Order – Ontario Instrument 32-507 (Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers (Interim Class Order)
Documents d'Instruments, règles et politiques
Ontario Instrument 32-507 (Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers (Interim Class Order)
Documents d'Instruments, règles et politiques
Ontario Securities Commission Rule 32-506 (Under the Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-754 - Compliance and Registrant Regulation Branch Summary Report
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Staff Notice 31-362 - OBSI Joint Regulators Committee Annual Report for 2021
Documents d'Instruments, règles et politiques
Unofficial Consolidation: National Instrument 33-105 Underwriting Conflicts - September 8, 2015
Documents d'Instruments, règles et politiques
Notice of Coming into Force – OSC Rule 32-506 (Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers – Amendment to OSC Rule 91-502 Trades in Recognized Options under the Securities Act
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals
Documents d'Instruments, règles et politiques
Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Relating to Total Cost Reporting
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
