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Amendments to National Instrument 31-103, Registration Requirements, Exemptions and Ongoing Registrant Obligations [Completed]

Issued: October 16, 2014.

Transitional provisions:

January 11, 2015.

Last updated:

October 2014

Overview

The CSA introduced the National Registration Rules (NRR) in 2009 as a means to harmonize, modernize and streamline registration policies across Canada. Since implementation, the CSA have monitored the operation of the NRR and maintained an ongoing dialogue with registrants.

The amendments represent both general improvements to the registrant regulatory framework and specific measures to deal with problems identified by the CSA. They range from technical adjustments to more substantive matters, the purpose of which is to promote stronger investor protection by resolving ambiguities and clarifying intentions, which will enhance compliance and create efficiencies for industry and regulators.

Recent activities

October 16, 2014

On October 16, 2014, the CSA issued amendments to the regulatory framework for dealers, advisers and investment fund managers set out in National Instrument 31-103, Registration Requirements, Exemptions and Ongoing Registrant Obligations and related instruments.

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