CSA Publications (CFR)

...of Saskatchewan [English] Manitoba Securities Commission [English] National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations (31-103CP)...

Canadian regulators seek comment on proposed changes to national mining rule

...its proposal to repeal and replace National Instrument 43-101 Standards of Disclosure for Mineral Projects, Form 43-101F1 Technical Report, and Companion Policy 43-101CP. The CSA is specifically seeking comment on...

Canadian securities regulators adopt amendments to National Instrument 94-101

Montréal and Toronto – The Canadian Securities Administrators (CSA) today announced amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (NI 94-101) and changes to Companion Policy 94-101...

Canadian securities regulators propose enhanced disclosure requirements on investment costs and performance

Toronto – The Canadian Securities Administrators (CSA) are publishing for a second comment period, proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which would require...

NRD System Fees

...either of the following: initial registration; reactivation of registration. The amount of the system fee is $86 for each Form 33-109F4 submitted for each individual applying for registration or review...

Temporary relief from certain regulatory filings available to registrants and unregistered capital markets participants due to COVID-19

...in Ontario, unregistered capital markets participants that rely upon certain registration exemptions. These unregistered capital markets participants include unregistered investment fund managers and unregistered exempt international firms. Registrants and unregistered...

System Functionality

...individual’s user ID and password? Can an AFR print copies of the Registration Information for an individual? Can I submit a registration application to every jurisdiction at once on NRD?...

Certain Canadian securities regulators to adopt start-up crowdfunding exemptions

...– Start-up Crowdfunding Registration and Prospectus Exemptions.  Registered dealers are able to operate funding portals that facilitate start-up crowdfunding distributions, subject to their registration obligations, including suitability. A copy of...

Canadian securities regulators introduce guidance for flexible chief compliance officer arrangements for businesses

...separate business line or category of registration (the multiple CCO model); and a non-traditional or specialized firm, such as a fintech firm, can have an individual acting as a CCO,...

Canadian Securities Administrators encourage investors to check before they invest

Halifax – The Canadian Securities Administrators (CSA)are encouraging all investors to participate in Check Registration Day on March 16, 2016 by visiting aretheyregistered.ca to see whether the individual or firm offering them...