CFA Registration Information Amendments - Dec 16, 2021 - Appendix C
Documents d'Instruments, règles et politiques
Notice of Adoption – 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
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
OSC Staff Notice 33-755 - CRR Branch Summary Report
Documents d'Instruments, règles et politiques
Joint Canadian Securities Administrators / Canadian Investment Regulatory Organization – Staff Notice 31-363 Client Focused Reforms: Review of Registrants’ Conflicts of Interest Practices and Additional Guidance
Documents d'Instruments, règles et politiques
Unofficial Consolidation: OSC Rule 33-506 (Commodity Futures Act) Registration Information
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Companion Policy 33-506CP (Commodity Futures Act) Registration Information
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals (Section 4.2)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F2 Change or Surrender of Individual Categories (section 2.2(2), 2.5(2) or 4.1(5))
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F3 Business Locations Other Than Head Office (section 3.2)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F4 Registration of Individuals and Review of Permitted Individuals (Section 2.2)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: National Instrument 33-109 Registration Information
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Companion Policy 33-109CP Registration Information
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-109F1 Notice of End of Individual Registration or Permitted Individual Status
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-109F2 Change or Surrender of Individual Categories
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-109F3 Business Locations Other Than Head Office
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-109F4 Registration of Individuals and Review of Permitted Individuals
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F5 Change of Registration Information (Sections 3.1 And 4.1)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F6 Firm Registration
Documents d'Instruments, règles et politiques
