CSA Staff Notice 31-361 – OBSI Joint Regulators Committee Annual Report for 2020
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-752 – Summary Report for Dealers, Advisers and Investment Fund Managers
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
Unofficial Consolidation: Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
CSA Notice and Request for Comment – Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Prop
Documents d'Instruments, règles et politiques
Unofficial Consolidation: National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
Registration Guide for New SRO Dual Registered Firms
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 35-101F2 Form of Submission to Jurisdiction and Appointment of Agent for Service of Process by Agents of the Broker-Dealer
Documents d'Instruments, règles et politiques
Unofficial Consolidation: OSC Rule 35-502 Non-Resident Advisers
Documents d'Instruments, règles et politiques
Unofficial Consolidation: OSC Rule 35-503 Trades by Certain Members of the Toronto Stock Exchange
Documents d'Instruments, règles et politiques
OSC Notice of Amendments to OSC Rule 33-506 and Companion Policy Registration Information
Documents d'Instruments, règles et politiques
CSA Notice of Amendments to National Instrument 33-109 Registration Information and Changes to the Companion Policy to National Instrument 33-109 Registration Information and Consequential Amendments to National Instrument 31-103 Registration Requirements
Documents d'Instruments, règles et politiques
Registration Information Amendments – December 16, 2021 - Annex A – Summary of notable changes to the Proposals
Documents d'Instruments, règles et politiques
Registration Information Amendments – December 16, 2021 - Annex B – List of commenters and summary of comments on the Proposals and responses
Documents d'Instruments, règles et politiques
Registration Information Amendments – December 16, 2021 - Annex C – Frequently asked questions on updating registration information on NRD
Documents d'Instruments, règles et politiques
Registration Information Amendments – December 16, 2021 - Annex D – Adoption of the Amendments
Documents d'Instruments, règles et politiques
Registration Information Amendments – December 16, 2021 - Annex E – Amendments to NI 33-109
Documents d'Instruments, règles et politiques
Registration Information Amendments – December 16, 2021 - Annex F – Blackline showing amendments to NI 33-109
Documents d'Instruments, règles et politiques
