31 - Registration Requirements
Securities Division
4th Floor, 2365 Albert Street
Regina, SK, S4P 4K1
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
31 - Registration Requirements
For a list of archived items visit the Part 3 - Registration and Related Matters Archive page.
- 31-102 – National Registration Database (National Instrument)
- 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Instrument)
- 31-318 – Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers (National Notice)
- 31-319 – Further General Orders Exempting Registrants from Certain Provisions of NI 31-103 (National Notice)
- 31-323 – Guidance Relating to the Registration Obligations of Mortgage Investment Entities (National Notice)
- 31-324 – Exempt Market Dealers and Account Statement Requirements in NI 31-103 (National Notice)
- 31-332 – Relevant Investment Management Experience For Advising Representatives and Associates Advising Representatives of Portfolio Managers (National Notice)
- 31-334 - CSA Review of Relationship Disclosure Practices (National Notice)
- 31-336 – Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations (National Notice)
- 31-338 – Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization (National Notice)
- 31-342 – Guidance for Portfolio Managers Regarding Online Advice (National Notice)
- 31-343 – Conflicts of interest in distributing securities of related or connected issuers (National Notice)
- 31-345 - Cost Disclosure, Performance Reporting and Client Statements – Frequently Asked Questions and Additional Guidance (National Notice)
- 31-346 - Guidance as to the Scope of the International Dealer Exemption in Relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers (National Notice)
- 31-347 - Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members (National Notice)
- 31-349 – Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions (National Notice)
- 31-350 - Guidance on Small Firms Compliance and Regulatory Obligations (National Notice)
- 31-351 - Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with requirements regarding the Ombudsman for Banking Services and Investments (National Notice)
- 31-352 - Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations (National Notice)
- 31-354 - Suggested Practices for Engaging with Older or Vulnerable Clients (National Notice)
- 31-356 - Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision (National Notice)
- 31-357 - Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice)
- 31-358 - Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments (National Notice)
- 31-360 - Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice)
- 31-364 - OBSI Joint Regulators Committee Annual Report for 2022 (National Notice)
- 31-703 - Change to Criminal Record Check Process for Individuals Registering Where Saskatchewan is the Principal Regulator (Local Notice)