3 - Registration Requirements and Related Matters Breadcrumb Home Securities law Instruments, rules and policies 3 - Registration Requirements and Related Matters Component Menu Left Sidebar Securities law Legislation Instruments, rules and policies 1 - Procedure and Related Matters 2 - Certain Capital Market Participants 3 - Registration Requirements and Related Matters 4 - Distribution Requirements 5 - Ongoing Requirements for Issuers and Insiders 6 - Take-Over Bids and Special Transactions 7 - Securities Transactions Outside the Jurisdiction 8 - Investment Funds 9 - Derivatives Documents not numbered Securities rule-making in Ontario Proposed instruments, rules and policies Orders, rulings and decisions Blanket orders Delegation orders OSC Bulletin Filing documents online Search by keyword Sort by RelevanceInstrument number descendingInstrument number ascending Results 31 - 60 of 194 Instrument Number Title 31-334 CSA Review of Relationship Disclosure Practices 31-335 Extension of Interim Relief for Members of the Investment Industry Regulatory Organization of Canada from the Requirement in section 14.2(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations in Respect of the Provision of Relationship Disclosure Information to Existing Clients (Withdrawn by CSA Notice 11-329, June 16, 2015) 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations 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Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014(withdrawn by CSA Notice 31-345, April 14, 2016) 31-338 Guidance on Dispute Resolution Services - Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization 31-339 [Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Omnibus/ Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103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Exemptions and Ongoing Registrant Obligations 31-340 OBSI Joint Regulators Committee Annual Report for 2014 31-341 [Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 31-342 Guidance for Portfolio Managers Regarding Online Advice 31-343 Conflicts of interest in distributing securities of related or connected issuers 31-344 CSA Staff Notice 31-344 - OBSI Joint Regulators Committee Annual Report for 2015 31-345 CSA Staff Notice 31-345 - Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance 31-346 CSA Staff Notice 31-346 - Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members 31-348 OBSI Joint Regulators Committee Annual Report for 2016 31-349 CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions 31-350 CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations 31-351 Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin 0736-M - Complying with requirements regarding the Ombudsman for Banking Services and Investments 31-352 CSA Staff Notice 31-352 Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations 31-353 CSA Staff Notice 31-353 OBSI Joint Regulators Committee Annual Report for 2017 31-354 CSA Staff Notice 31-354 Suggested Practices for Engaging with Older or Vulnerable Clients 31-355 CSA Staff Notice 31-355 OBSI Joint Regulators Committee Annual Report for 2018 31-356 CSA Staff Notice 31-356 Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision 31-357 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 31-358 CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments 31-359 CSA Staff Notice 31-359 – OBSI Joint Regulators Committee Annual Report for 2019 31-360 CSA Notice 31-360 Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 31-361 CSA Staff Notice 31-361 – OBSI Joint Regulators Committee Annual Report for 2020 31-362 CSA Staff Notice 31-362 - OBSI Joint Regulators Committee Annual Report for 2021 31-363 Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance Pagination First page « First Previous page ‹ Previous Page 1 Current page 2 Page 3 Page 4 Page 5 Page 6 Page 7 Next page Next › Last page Last »
