Proposed Companion Policy: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Notice and Request for Comment: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Notice of CSA Request for Comments: NI 31-103 - Registration Requirements
Documents d'Instruments, règles et politiques
Multilateral Instrument: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Final Multilateral Instrument and Companion Policy: NI - 33-109 - Registration Information Requirements
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
Multilateral Instrument, Companion Policy, and Forms: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Notice - Appendix A to the Notice of Proposed Multilateral Instrument 33-109: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Notice and Request for Comments: NI - 33-109 - Registration Information Requirements
Documents d'Instruments, règles et politiques
Proposed Amendments to NI 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions - Exemptions from certain requirements for SRO Members
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-740 - Report on the results of the 2012 targeted review of portfolio managers and exempt market dealers to assess compliance with the know-your-client, know-your-product and suitability obligations
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-741 - Report on the Results of the Reviews of Capital Markets Participation Fees
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-742 - 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-743 - Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers
Documents d'Instruments, règles et politiques
OSC Staff Notice 33-744 - Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario)
Documents d'Instruments, règles et politiques
OSC Staff Notice: 33-745 - 2014 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Documents d'Instruments, règles et politiques
