Registration and Compliance Materials

National Instrument 31-103 Readiness Resources

The Registration and Compliance Alliance has created these materials in order to assist clients with the new legislation.
 

Bulletins

Issue #1:  Announcing New Securities Registration and Compliance Alliance in Canada

Issue #2:  Exempt Market Dealers - What You Need to Know About the Business Trigger

Issue #3:  Investment Fund Managers - Registration: A Powerful New Tool for Regulators

Issue #4:  Portfolio Managers - What You Need to Know About Transition Under the New Rules

Issue #5:  Exempt Market Dealers - New Proficiency, Capital and Insurance Requirements

Issue #6:  Investment Fund Managers - Proficiency, Capital and Insurance Requirements

Issue #7:  Portfolio Managers - Relationship Disclosure Rules 

Issue #8:  International Dealers - New International Dealer Exemption

Issue #9:  International Advisers - New International Adviser Exemption

Issue #10:  Portfolio Managers - Managing Investment Funds

Issue #11:  Investment Fund Managers - Financial Reporting and NAV Adjustments

Issue #12:  Exempt Market Dealers - Exemption from Exempt Market Dealer Registration

Issue #13:  Investment Dealers and Mutual Fund Dealers - Ultimate Designated Person and Chief Compliance Officer
 

Commentaries

Exempt Market Dealers - What You Need to Know Under the New Rules

International Advisers Commentary

International Dealers - What You Need to Know Under the New Rules

Investment Dealers and Mutual Fund Dealers - What You Need to Know Under the New Rules

Investment Fund Managers - What You Need to Know Under the New Rules

Portfolio Managers - What You Need to Know Under the New Rules