Registration Requirements and Exemptions [Rule 31-103]

Rule Category

3 - Registration, Compliance and Related Matters

CSA Notice and Request for Comment Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service. Proposed Amendments to NI 31-103 and Companion Policy 31-103 CP. Comment Period Ends Feb 28, 2024

CSA Notice of Amendments to NI 14-101 Definitions and Consequential Amendments

CSA and CCIR Notice of Publication CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance and Amendments to NI 31-103 and to CP 31-103CP Total Cost Reporting for Investment Funds and Segregated Funds

Request for Comment. Proposed Amendments to NI 31-103 and to 31-103CP and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance. Total Cost Reporting for Investment Funds and Segregated Funds Comment period ends July 27, 2022

Consequential Amendments relating to Prohibition of Deferred Sales Charges for Investment Funds

Local Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Local Changes to CP 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Consequential Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the CP to NI 31-103

Amendment to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients

Rule 45-106 (Amendment) Prospectus Exemptions, and Consequential Amendments to Rule 31-103 and Amendments to NI 31-103 and Changes to Companion Policy 31-103CP

Notice of Amendments to NI 45-106 and NI 31-103 and Changes to 45-106CP and 31-103CP relating to Syndicated Mortgages

Reforms to enhance the client-registrant relationship (Client Focused Reforms) Notice of amendments to National Instrument 31-103 and companion policy 31-103CP

Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Notice of Amendments - Custody-Related Amendments

Request for Comments Proposed Amendments to NI 31-103 and Changes to 31-103CP. Comment Period ends Oct. 19/18.

Unofficial Consolidation of NI 31-103 and its CP as of December 4, 2017

History

July 7, 2016

Request for Comment - Proposed Amendments to NI 31-103, NI 31-101CP, NI 33-109 and Related Forms

February 19, 2015

Consequential Amendments to Rule 31-103 resulting from Rule 45-106 (Amendment)

October 22, 2014

Rule 31-103 (Amendment)

October 22, 2014

Rule 31-103 (Amendment) and Consequential Amendments

October 16, 2014

Notice of Amendments to NI 31-103, NI 33-109, NI 52-107 and Related Policies and Forms

June 25, 2014

Consequential Amendments to 31-103 resulting from Rule 81-102 (Amendment)

May 1, 2014

31-103 Unofficial Consolidation and CP as of May 1, 2014

February 5, 2014

Rule 31-103 (Amendment) Registration Requirements, Exemptions and Ongoing Requirements

December 5, 2013

Notice and Request for Comment - NI 31-103/31-109/52-107 and Related Policies and Forms

April 24, 2013

Rule 31-103 (Amendment)

March 28, 2013

Notice of Amendments - NI 31-103

September 28, 2012

NI 31-103 - Unofficial Consolidation as of September 28, 2012

July 15, 2012

Amendments to Companion Policy 31-103CP effective September 28, 2012

December 8, 2011

Rule 31-103 (Amendment)

April 15, 2011

Rule 31-103 (Amendment)

April 15, 2011

Notice of Amendments - NI 31-103

October 13, 2010

Consequential Amendments to NI 33-109 and Rule 31-103

October 1, 2010

Notice of Amendments - NI 31-103

July 17, 2009

Notice of NI 31-103

July 15, 2009

Rule 31-801 - Implementing NI 31-103 Registration Requirements and Exemptions

July 15, 2009

July 15, 2009

Rule 31-103 and Consequential Amendments

Pages

Failure to file annual financial statements.
Failure to file interim financial statements.
Failure to file an annual or interim management’s discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP).
Failure to file an Annual Information Form (AIF).
Failure to file a certification of annual or interim filings required by Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109).
Failure to file required proxy materials or a required information circular.
Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI).
Failure to file a material change report.
Failure to provide a written update after filing a confidential report of a material change.
Failure to file a business acquisition report.
Failure to file annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101).
Failure to file a mandatory news release.
Failure to file corporate governance disclosure as required by national Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101).
Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees (MI 52-110) or BC Instrument 52-509 Audit Committees.
Failure to include disclosure in an issuer’s MD&A relating to disclosure controls and procedures and their direct effectiveness that is referred to in a certificate filed under MI 52-109.
Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply with the requirements of NI 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency (NI 52-107).
The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financial statements, may no longer be relied upon.
The reporting issuer’s AIF, MD&A, MRFP, information circular, or business acquisition reports do not contain information for each of the content items required by NI 51-102 or NI 81-106.
The reporting issuer’s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or 51-101.
Failure to pay a fee required by the Act or the regulations.
Failure to comply with any other requirement related to continuous disclosure.