Requests for Comment

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Proposed Policies, Rules & Forms

The following summaries refer to all documents published for comment since July 1, 1998 that have not yet been finalized. You should not rely on these summaries, but refer to the actual policy documents. These documents may include proposed rules (some of which are adopted on a uniform basis across Canada and are known as national instruments or multilateral instruments), proposed policies, proposed forms or concept proposals.

Out For Comment

Document Comment Period Expires Format
93-101 Proposed National Instrument 93-101 Derivatives: Business Conduct Proposed Companion Policy 93-101CP Derivatives: Business Conduct [CSA Notice and Request for Comment]
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2017-09-01
93-301 Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period [CSA Staff Notice]
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2017-09-01
51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers [CSA Consultation Paper]
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2017-07-28
52-403 Auditor Oversight Issues in Foreign Jurisdictions [CSA Consultation Paper]
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2017-06-24

Under Review

Document Comment Period Expires Format
81-408 Consultation on the Option of Discontinuing Embedded Commissions [CSA Consultation Paper]
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2017-06-09
81-102 Investment Funds [NI Amendment Proposed]
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2016-12-22
24-101 Proposed Amendments to National Instrument 24-101 Institutional Trade Matching and Settlement and Proposed Changes to Companion Policy 24-101 Institutional Trade Matching and Settlement and CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment [CSA Notice and Request for Comment]
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2016-11-16
31-103 CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations,Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information And Related Forms [CSA Notice]
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2016-10-05
95-401 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives [CSA Consultation Paper]
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2016-09-06
33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Towards Their Clients [CSA Consultation Paper]
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2016-08-26
54-304 Final Report on Review of the Proxy Voting Infrastructure and Request for Comments on Proposed Meeting Vote Reconciliation Protocols [CSA Multilateral Staff Notice]
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2016-07-15
94-102 CSA Notice and Request for Comment Proposed National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions Proposed Companion Policy 94-102CP Derivatives: Customer Clearing and Protection of Customer Collateral and Positions [CSA Notice]
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2016-04-19
45-315 Proposed Prospectus Exemption for Certain Distributions through an Investment Dealer [Multilateral CSA Notice]
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2015-06-15
92-401 Derivatives Trading Facilities [CSA Consultation Paper]
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2015-03-30
81-324 Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts [CSA Notice]
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2014-03-12
62-105 Security Holder Rights Plans [NI Proposed]
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2013-07-12
91-407 Derivatives: Registration [CSA Consultation Paper]
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2013-06-17