Unofficial Consolidation of NI 31-103 and its CP as of May 1, 2014
Documents d'Instruments, règles et politiques
Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
Proposed Amendments: NI 24-101 Institutional Trade Matching and Settlement and Companion Policy 24-101CP Institutional Trade Matching and Settlement
Documents d'Instruments, règles et politiques
CSA Notice of Amendments to NI 24-101 Institutional Trade Matching and Settlement and Companion Policy 24-101CP Institutional Trade Matching and Settlement
Documents d'Instruments, règles et politiques
Proposed Companion Policy: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Notice and Request for Comment: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Notice of CSA Request for Comments: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Multilateral Instrument: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Final Multilateral Instrument and Companion Policy: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-330 - Omnibus/Blanket Orders Extending Certain Transition Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-331 - Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-332 - Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-333 - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-334 - CSA Review of Relationship Disclosure Practices
Documents d'Instruments, règles et politiques
Multilateral Instrument, Companion Policy, and Forms: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Notice - Appendix A to the Notice of Proposed Multilateral Instrument 33-109: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Notice and Request for Comments: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions - Exemptions from certain requirements for SRO Members
Documents d'Instruments, règles et politiques
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
