33 - Ongoing Requirements Affecting Registrants
Securities Division
4th Floor, 2365 Albert Street
Regina, SK, S4P 4K1
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
33 - Ongoing Requirements Affecting Registrants
For a list of archived items visit the Part 3 - Registration and Related Matters Archive page.
- 33-105 – Underwriting Conflicts (National Instrument)
- 33-109 – Registration Information (National Instrument)
- 33-305 - Sale of Insurance Products by Dually Employed Salespersons
- 33-314 – International Financial Reporting Standards and Registrants (National Notice)
- 33-315 – Suitability Obligation and Know Your Product (National Notice)
- 33-316 – Status Report on Consultation under CSA Consultation Paper 33-403 (National Notice)
- 33-317 – Next Steps in the CSA's Work to enhance the Obligations of Advisors, Dealers and Representatives Toward Their Clients (National Notice)
- 33-318 – Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives (National Notice)
- 33-319 – Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients (National Notice)
- 33-320 – The Requirement for True and Complete Applications for Registration (National Notice)
- 33-321 - Cyber Security and Social Media (National Notice)
- 33-701 – Telemarketing Activities (Local Notice)
- 33-705 – Dealing with Non-Residents (Local Notice)
- 33-711 – Adviser and Deposit Agent Examinations (Local Notice)