CSA Staff Notice: 31-319 - Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions (Withdrawn by CSA Staff Notice 11-323, September 12, 2013)
Documents d'Instruments, règles et politiques
CSA Notice: 31-320 - Additional Request for Comment by the OSC and Autorité des Marchés Financiers on Proposed Exemptions from Investment Fund Manager Registration Requirement for International and Certain Domestic Investment Fund Managers
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-322 - Extension of Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers (Withdrawn by CSA Staff Notice 11-323, September 12, 2013)
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-323 - Guidance Relating to the Registration Obligations of Mortgage Investment Entities
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-324 - Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions (withdrawn by CSA Notice 31-345, April 14, 2016)
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-325 - Marketing Practices of Portfolio Managers
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-326 - Outside Business Activities
Documents d'Instruments, règles et politiques
CSA Staff Notice 31-327 - Broker-Dealer Registration in the Exempt Market Dealer Category
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-328 - Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-329 - Omnibus/blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and related staff positions
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
CSA Staff Notice: 31-335 - Extension of Interim Relief for Members of IIROC from the Requirement in section 14.2(1) of NI 31-103 in Respect of the Provision of Relationship Disclosure Information to Existing Clients
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-336 - Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-337 - Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014 (withdrawn by CSA Notice 31-345, April 14, 2016)
Documents d'Instruments, règles et politiques
CSA Staff Notice: 31-338 - Guidance on Dispute Resolution Services - Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization
Documents d'Instruments, règles et politiques
[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
