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Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014 (withdrawn by CSA Notice 31-345, April 14, 2016)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[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103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
CSA Staff Notice 31-340 - OBSI Joint Regulators Committee Annual Report for 2014
Documents d'Instruments, règles et politiques
[Withdrawn by CSA Staff Notice 11-341, March 7, 2019] CSA Staff Notice 31-341-Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
CSA Staff Notice 31-342 - Guidance for Portfolio Managers Regarding Online Advice
Documents d'Instruments, règles et politiques
CSA Staff Notice 31-343 - Conflicts of interest in distributing securities of related or connected issuers
Documents d'Instruments, règles et politiques
CSA Staff Notice 31-345 - Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance
Documents d'Instruments, règles et politiques
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
Documents d'Instruments, règles et politiques
CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
Documents d'Instruments, règles et politiques
CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
Documents d'Instruments, règles et politiques
CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations
Documents d'Instruments, règles et politiques
