3 - Exigences en matière d’enregistrement et de questions connexes

Résultats 1 - 30 de 198
Instrument Number
Titre
31-101
National Registration System [Repealed]
31-102
National Registration Database
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-307
National Registration Database (NRD) - NRD Enrolment and User Fees (Withdrawn by CSA Staff Notice 11-309, March 3, 2006)
31-308
Frequently Asked Questions Regarding National Instrument 31-101 National Registration System and National Policy 31-201 National Registration System (Withdrawn by CSA Notice 11-313, February 19, 2010)
31-309
Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-310
Proposed NI 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements (withdrawn by Notice of Ministerial Approval effective September 28, 2009)
31-311
Proposed NI 31-103 Registration Requirements and Exemptions - Transition into the new registration regime (Withdrawn by CSA Notice 11-317, June 21, 2012)
31-312
The Exempt Market Dealer Category under NI 31-103 Registration Requirements and Exemptions (Withdrawn by CSA Staff Notice 11-323, September 12, 2013)
31-313
NI 31-103 Registration Requirements and Exemptions and related instruments - Frequently Asked Questions as of December 18, 2009 (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-314
NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 5, 2010 (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-315
Omnibus / blanket orders exempting registrants from certain provisions of NI 31-103 Registration Requirements and Exemptions (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-316
Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments (Withdrawn by CSA Staff Notice 11-323, September 12, 2013)
31-317
Reporting Obligations Related to Terrorist Financing for Registrants, Exempt International Dealers, and Exempt International Advisers
31-318
Omnibus/blanket order exempting mortgage investment entities from the requirement to register as investment fund managers and advisers (Withdrawn by CSA Staff Notice 11-323, September 12, 2013)
31-319
Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions (Withdrawn by CSA Staff Notice 11-323, September 12, 2013)
31-320
Additional Request for Comment by the OSC and Autorité des Marchés Financiers on Proposed Exemptions from Investment Fund Manager Registration Requirement for International and Certain Domestic Investment Fund Managers
31-321
Further Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions (Withdrawn by CSA Notice 11-317, June 21, 2012)
31-322
Extension of Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers (Withdrawn by CSA Staff Notice 11-323, September 12, 2013)
31-323
Guidance Relating to the Registration Obligations of Mortgage Investment Entities
31-324
Exempt market dealers and account statement requirements in National Instrument 31-103 Registration Requirements and Exemptions (withdrawn by CSA Notice 31-345, April 14, 2016)
31-325
Marketing Practices of Portfolio Managers
31-326
Outside Business Activities (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-327
Broker-Dealer Registration in the Exempt Market Dealer Category (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-328
Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations(Withdrawn by CSA Notice 11-329, June 16, 2015)
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 (Withdrawn by CSA Notice 11-329, June 16, 2015)
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 (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-331
Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category (Withdrawn by CSA Notice 11-329, June 16, 2015)
31-332
Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
31-333
Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category (Withdrawn by CSA Notice 11-329, June 16, 2015)
Résultats 1 - 30 de 198