Regulatory Instrument Details

31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]

31-103
Number
Title
Regulatory Instrument Type
Date Type
Date
31-103
National Instrument
As Amended
06/12/2018
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 06/12/2019
Amendments to Instrument
Effective
06/12/2019
31-103F1
Form
As Amended
06/12/2018
31-103F2
Form
As Amended
01/11/2015
31-103F3
Use of Mobility Exemption - Consolidated Version
As Amended - Form - 07/11/2011
Form
As Amended
07/11/2011
31-103F4
Net Asset Value Adjustments
Effective - Form - 01/11/2015
Form
Effective
01/11/2015
31-103CP
Companion Policy to NI 31-103 - Consolidated Version
As Changed - Companion Policy - 12/04/2017
Companion Policy
As Changed
12/04/2017
Amendments to NI 31-103
Published - CSA Notice - 03/14/2019
CSA Notice
Published
03/14/2019

Proposed Amendments Related to 31-103

Number
Title
Regulatory Instrument Type
Date Type
Date
Proposed Changes to 31-103CP (arising from NI 45-106)
Published - Proposed Changes to Policy - 03/15/2019
Proposed Changes to Policy
Published
03/15/2019
Proposed Amendments to NI 31-103 (arising from NI 45-106)
Published - Proposed Amendments to Instrument - 03/15/2019
Proposed Amendments to Instrument
Published
03/15/2019
Proposed Amendments to NI 31-103
Published - CSA Notice - 10/25/2018
CSA Notice
Published
10/25/2018
31-103
Proposed Amendments to NI 31-103 (arising from NI 81-105)
Published - Proposed Amendments to Instrument - 09/13/2018
Proposed Amendments to Instrument
Published
09/13/2018
Number
Title
Regulatory Instrument Type
Status
Date
11-338
CSA Market Disruption Coordination Plan
Published - CSA Notice - 10/18/2018
CSA Notice
Published
10/18/2018
CSA Notice
Published
09/13/2018
46-309
Bail-in Debt
Published - CSA Notice - 08/23/2018
CSA Notice
Published
08/23/2018
ASC Notice
Published
08/15/2018
81-330
CSA Notice
Published
06/21/2018
31-353
OBSI Joint Regulators Committee Annual Report for 2017
Published - CSA Notice - 03/29/2018
CSA Notice
Published
03/29/2018
31-352
CSA Notice
Published
02/22/2018
31-701
Account Opening Assistance
Published - ASC Notice - 12/19/2017
ASC Notice
Published
12/19/2017
33-321
Cyber Security and Social Media
Published - CSA Notice - 10/19/2017
CSA Notice
Published
10/19/2017
33-320
CSA Notice
Published
07/13/2017
31-349
CSA Notice
Published
07/13/2017
31-350
CSA Notice
Published
05/18/2017
31-348
OBSI Joint Regulators Committee Annual Report for 2016
Published - CSA Notice - 03/23/2017
CSA Notice
Published
03/23/2017
33-318
CSA Notice
Published
12/15/2016
31-347
CSA Notice
Published
11/17/2016
33-404
Consultation Paper
Published
04/28/2016
31-345
CSA Notice
Published
04/14/2016
31-344
OBSI Joint Regulators Committee Annual Report for 2015
Published - CSA Notice - 04/07/2016
CSA Notice
Published
04/07/2016
31-343
CSA Notice
Published
11/19/2015
31-342
Guidance for Portfolio Managers Regarding Online Advice
Published - CSA Notice - 09/24/2015
CSA Notice
Published
09/24/2015
11-329
CSA Notice
Published
07/16/2015
45-304
CSA Notice
Published
05/21/2015
31-530
Blanket Order
Effective
03/26/2015
31-340
OBSI Joint Regulators Committee Annual Report for 2014
Published - CSA Notice - 03/19/2015
CSA Notice
Published
03/19/2015
31-334
CSA Review of Relationship Disclosure Practices
Published - CSA Notice - 07/18/2013
CSA Notice
Published
07/18/2013
31-202
Registration Requirement for Investment Fund Managers
Effective - Multilateral Policy - 09/28/2012
Multilateral Policy
Effective
09/28/2012
33-704
Review of Exempt Market Dealers
Published - ASC Notice - 01/12/2012
ASC Notice
Published
01/12/2012
31-325
Marketing Practices of Portfolio Managers
Published - CSA Notice - 07/05/2011
CSA Notice
Published
07/05/2011
31-323
CSA Notice
Published
02/25/2011
31-505
Blanket Order
Effective
03/27/2010
33-315
Suitability Obligation and Know Your Product
Published - CSA Notice - 09/02/2009
CSA Notice
Published
09/02/2009
Number
Title
Regulatory Instrument Type
Status
Date
31-103
Amendments to NI 31-103 (arising from NI 44-101)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
31-103
Amendments to NI 31-103 (arising from NI 45-102)
Effective - Amendments to Instrument - 06/12/2018
Amendments to Instrument
Effective
06/12/2018
31-528
Blanket Order
Expired
12/04/2017
31-529
Blanket Order
Expired
12/04/2017
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 12/04/2017
Changes to Policy
Effective
12/04/2017
31-103
Amendments to NI 31-103 (Alberta only)
Effective - Amendments to Instrument - 12/04/2017
Amendments to Instrument
Effective
12/04/2017
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 12/04/2017
Amendments to Instrument
Effective
12/04/2017
CSA Notice
Published
07/27/2017
31-103
Amendments to NI 31-103 (arising from NI 14-101)
Effective - Amendments to Instrument - 02/01/2017
Amendments to Instrument
Effective
02/01/2017
31-103CP
Changes to 31-103CP (arising from NI 14-101)
Effective - Changes to Policy - 02/01/2017
Changes to Policy
Effective
02/01/2017
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 12/01/2016
Amendments to Instrument
Effective
12/01/2016
Amendments to NI 31-103
Published - ASC Notice - 10/13/2016
ASC Notice
Published
10/13/2016
CSA Notice
Published
07/07/2016
31-324
CSA Notice
Withdrawn
04/14/2016
31-337
CSA Notice
Withdrawn
04/14/2016
31-326
Withdrawn - Outside Business Activities
Withdrawn - CSA Notice - 07/16/2015
CSA Notice
Withdrawn
07/16/2015
31-333
CSA Notice
Withdrawn
07/16/2015
31-331
CSA Notice
Withdrawn
07/16/2015
31-520
Blanket Order
Revoked
07/16/2015
31-521
Blanket Order
Revoked
07/16/2015
31-327
CSA Notice
Withdrawn
07/16/2015
31-313
CSA Notice
Withdrawn
07/16/2015
31-103
Amendments to Instrument
Effective
05/05/2015
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 01/11/2015
Amendments to Instrument
Effective
01/11/2015
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 01/11/2015
Changes to Policy
Effective
01/11/2015
31-526
Blanket Order
Expired
12/31/2014
31-103
Amendments to Instrument
Effective
10/31/2014
CSA Notice
Published
10/16/2014
31-103
Amendments to NI 31-103 (arising from NI 81-102)
Effective - Amendments to Instrument - 09/22/2014
Amendments to Instrument
Effective
09/22/2014
31-103CP
Changes to 31-103CP (arising from NI 81-102)
Effective - Changes to Policy - 09/22/2014
Changes to Policy
Effective
09/22/2014
31-103
Changes to 31-103CP
Effective - Changes to Policy - 05/01/2014
Changes to Policy
Effective
05/01/2014
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 05/01/2014
Amendments to Instrument
Effective
05/01/2014
31-103
CSA Notice
Published
12/05/2013
33-314
CSA Notice
Withdrawn
09/12/2013
31-312
CSA Notice
Withdrawn
09/12/2013
33-313
CSA Notice
Withdrawn
09/12/2013
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 07/15/2013
Amendments to Instrument
Effective
07/15/2013
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 07/15/2013
Changes to Policy
Effective
07/15/2013
31-519
Blanket Order
Revoked
05/31/2013
31-103
Amendments to NI 31-103 (arising from NI 25-101)
Effective - Amendments to Instrument - 05/31/2013
Amendments to Instrument
Effective
05/31/2013
CSA Notice
Published
11/15/2012
31-103CP
Changes to 31-103CP (arising from MP 31-202)
Effective - Changes to Policy - 09/28/2012
Changes to Policy
Effective
09/28/2012
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 02/28/2012
Amendments to Instrument
Effective
02/28/2012
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 02/28/2012
Changes to Policy
Effective
02/28/2012
35-501
Blanket Order
Revoked
09/22/2011
31-103F1
Calculation of Excess Working Capital
Effective - Form - 07/11/2011
Form
Effective
07/11/2011
31-516
Blanket Order
Revoked
07/11/2011
2011 ABASC 221
Revocation of Certain Registration-Related Blanket Orders
Effective - Revocation Order - 07/11/2011
Revocation Order
Effective
07/11/2011
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 07/11/2011
Amendments to Instrument
Effective
07/11/2011
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 07/11/2011
Changes to Policy
Effective
07/11/2011
31-510
Blanket Order
Revoked
07/11/2011
31-103CP
Changes to 31-103CP
Effective - Changes to Policy - 01/01/2011
Changes to Policy
Effective
01/01/2011
31-103
Amendments to NI 31-103
Effective - Amendments to Instrument - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
31-103CP
Companion Policy to NI 31-103
Effective - Companion Policy - 09/28/2009
Companion Policy
Effective
09/28/2009
31-103
Registration Requirements and Exemptions
Effective - National Instrument - 09/28/2009
National Instrument
Effective
09/28/2009
31-103F2
Form
Effective
09/28/2009
31-103F3
Use of Mobility Exemption
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
31-103F1
Calculation of Excess Working Capital
Effective - Form - 09/28/2009
Form
Effective
09/28/2009
CSA Notice
Published
07/17/2009

News Releases Related to 31-103

Title
Date