3 – Registration Requirements & Related Matters

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Current Instruments & Policies

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Document
31-102 National Registration Database
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-202 Registration Requirement for Investment Fund Managers
31-317 Reporting Obligations Related to Terrorist Financing
31-323 Guidance Relating to the Registration Obligations of Mortgage Investment Entities
31-325 Marketing Practices of Portfolio Managers
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
31-334 CSA Review of Relationship Disclosure Practices
31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
31-338 Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization
31-339 Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-340 OBSI Joint Regulators Committee Annual Report for 2014
31-341 Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
31-342 Guidance for Portfolio Managers Regarding Online Advice
31-343 Conflicts of Interest in Distributing Securities of Related or Connected Issuers
31-344 OBSI Joint Regulators Committee Annual Report for 2015
31-345 Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance
31-346 Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers
31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members
31-348 OBSI Joint Regulators Committee Annual Report for 2016
31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
31-350 Guidance on Small Firms Compliance and Regulatory Obligations
31-351 CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with requirements regarding the Ombudsman for Banking Services and Investments
31-601 Registration Requirements
32-301 Omnibus/Blanket Orders Exempting Certain U.S. Broker-Dealers and U.S. Advisers from the Requirement to Register in Respect of Trades and Advice for U.S. Resident Clients
32-503 Registration Exemption for Approved Persons of the Mutual Funds Dealers Association of Canada
32-506 Exemption from compensation or contingency trust fund
32-513 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions
32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities
32-525 Exemption from the dealer registration requirement and the adviser registration requirement in respect of trades and advice for U.S. resident clients
33-105 Underwriting Conflicts
33-109 Registration Information
33-305 Sale of Insurance Products by Dually Employed Salespersons
33-315 Suitability Obligation and Know Your Product
33-316 Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
33-317 Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients
33-318 Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives
33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
33-320 The Requirement for True and Complete Applications for Registration
33-321 Cyber Security and Social Media
33-403 The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Towards Their Clients
33-506 Exemption from Cold Calling Restrictions for Registered Dealers
33-513 Exemption from Capital and Bonding Requirements for MFDA Members
33-514 Exemption from capital and bonding requirements for certain portfolio managers
33-515 Exemption from capital and bonding requirements for Investment Industry Regulatory Organization of Canada members
33-518 Exemption for Mutual Fund Dealers Association of Canada Members
33-519 Exemption for Investment Industry Regulatory Organization of Canada Members
33-520 Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
33-705 Conditions of Registration for Investment Dealers with a BC Office that Trade in the U.S. Over-the-Counter Markets
33-706 Discrepancy in Terms, Definitions and Registration Categories between the Securities Act and National Instrument 31-103 Registration Requirements and Exemptions
33-902 Joint Regulatory Financial Questionnaire and Report
33-903 Report Of Risk Adjusted Capital
33-904 Subordination Agreement
33-905 Report of working capital
33-906 Statement of Financial Condition (Audited)
34-201 Breach of Requirements of Other Jurisdictions
35-101 Conditional Exemption From Registration For United States Broker-Dealers And Agents