1 - Procedure and Related Matters

CSA Staff Notice 31-313

NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of December 18, 2009

CSA Staff Notice 31-314

NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions as of February 5, 2010

CSA Staff Notice 31-315

Omnibus/blanket orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements and Exemptions

CSA Staff Notice 31-326

Outside Business Activities

CSA Staff Notice 31-327

Broker-Dealer Registration in the Exempt Market Dealer Category

CSA Staff Notice 31-328

Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

CSA Staff Notice 31-329

Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Related Staff Positions

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

CSA Staff Notice 31-331

Follow-Up to Broker Dealer Registration in the Exempt Market Dealer Category

CSA Staff Notice 31-333

Follow-Up to Broker Dealer Registration in the Exempt Market Dealer Category

CSA Staff Notice 31-335

Extension of Interim Relief for Members of the Investment Industry Regulatory Organization of Canada from the Requirement in section 14.2(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations in Respect of the Provision of Relationship Disclosure Information to Existing Clients

Omnibus/blanket order and policy

Status

Exemption from the requirement to register for international advisers

This order is revoked.[1]

The order provided relief from restrictions on the registration exemption for international advisers in section 8.26 of NI 31-103 tied to the definition of “Canadian permitted client”. Section 8.26 was amended effective January 11, 2015 to remove these restrictions. 

Exemption from the requirement to register for international dealers

This order is revoked.[2]

The order provided relief from restrictions on the registration exemption for international dealers in section 8.18 of NI 31-103 tied to the definition of “Canadian permitted client”. Section 8.18 was amended effective January 11, 2015 to remove these restrictions. 

Continuation of transition provisions for persons and companies adding a jurisdiction

This order is revoked.[3]

The order provided relief from certain provisions in NI 31-103 to a person or company registered in a jurisdiction of Canada  on and since the date NI 31-103 came into force that applied for registration in another jurisdiction after the date NI 31-103 came into force. The order is no longer required because certain transition and grandfathering provisions in NI 31-103 are spent and others have been amended. 

Exemption from time limits on examination requirements for dealing representatives of scholarship plan dealers

This order is revoked. [4]

The order provided relief from time limits on examination requirements in NI 31-103 for representatives of scholarship plan dealers registered in a jurisdiction of Canada on and since the date NI 31-103 came into force. Section 3.3 of NI 31-103 was amended effective January 11, 2015 to provide equivalent relief. 

Transitional Relief from the Requirement to Register as an Investment Fund Manager

This order is revoked.[5]

The order provided relief from the investment fund manager registration requirement in the local jurisdiction to a person or company registered in another jurisdiction of Canada as an investment fund manager until December 31, 2012 or while a registration application in the local jurisdiction was being processed if applied for by December 31, 2012. This order also provided relief from the investment fund manager registration requirement in the local jurisdiction to a person or company whose head office was not in a jurisdiction of Canada until December 31, 2012 or while a registration application in the local jurisdiction was being processed. The order is no longer required because the relief has expired.

Multilateral Policy 34-202 Registrants Acting as Corporate Directors

This multilateral policy is withdrawn.

The policy sets out guidance for representatives of registrants who act as a director or adviser of a reporting issuer. The policy is no longer required because its content has been incorporated in Companion Policy 31-103CP.