31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Instrument)

31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Instrument)

• National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

  Effective Date: September 28, 2009. Consolidated to May 5, 2015.

  Registration requirements for firms and individuals who sell securities, offer investment advice or manage investment funds.

  31_103_ni_may_5_2015.pdf
• Amendments to National Instrument 31-103

  Effective Date: September 13,  2023. If this Instrument is filed with the Registrar of Regulations after September 13, 2023, this Instrument comes into force on the day on which it is filed with the Registrar of Regulations.

  31_103_amendments_jul_15_2023.pdf
• Amendments to National Instrument 31-103

  Full cost disclosure and product performance reports for segregated funds and investment funds (“Total Costs Report”).

  Effective Date: January 1, 2026

  amendments_to_ni_31_103.pdf
• The Securities Commission (Adoption of National Instruments) (31-103) Amendment Regulations, 2022

  Effective Date: June 1, 2022.

  8_2022_sr_filed_81_105_ni_et_al_ar_03_10_22.pdf
• The Securities Commission (Adoption of National Instruments) (NI 33-109 and NI 31-103) Amendment Regulations, 2022

  Effective Date: June 6, 2022.

  33_2022_sr_filed_33_109_ni_and_31_103_ni_ar_05_03_22.pdf
• 31-103 – CSA and CCIR Joint Notice and Request for Comment, Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance - Total Cost Reporting for Investment Funds and Segregated Funds

  Comment Period Ends: July 27, 2022

  csa_and_ccir_joint_notice_and_request_for_comment_with_annexes_april_28_2022.pdf
• The Securities Commission (Adoption of National Instruments) (NI 31-103, NI 41-101, NI 45-106, NI 81-101, NI 81-102, NI 81-106, and NI 81-107) Amendment Regulations, 2022

  Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.

  1_2022_sr_filed_31_103_ni_et_al_ar_02_08_22.pdf
• Amendments to National Instrument 31-103

  Effective Date: Effective Date: June 6, 2022.

  31_103_ni_amendments_january_20_2022.pdf
• Amendments to National Instrument 31-103

  Effective Date: June 6, 2022.

  31_103_ni_amendments_december_16_2021.pdf
• Amendments to National Instrument 31-103

  Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.

  31_103_ni_amendments_5_october_7_2021.pdf
• Amendments to National Instrument 31-103

  Effective Date: June 6, 2022.

  31_103_ni_july_15_2021.pdf
• The Securities Commission (Adoption of National Instruments) (31-103) Amendment Regulations, 2021

  Effective Date: December 31, 2021.

  131_2021_sr_filed_31_103_ni_ar_12_17_21.pdf
• Amendments to National Instrument 31-103

  Effective Date: June 6, 2022.

  31_103_ni_february_4_2021.pdf
• The Securities Commission (Adoption of National Instruments) (NI 31-103 and NI 45-106) Amendments Regulations, 2021

  Effective Date: March 1, 2021.

  31_103_ni_march_1_2021.pdf
• Amendments to National Instrument 31-103

  Effective Date:  March 1, 2021.

  31_103_ni_august_6_2020.pdf
• The Securities Commission (Adoption of National Instruments) (NI 13-103) Amendment Regulations, 2020

  Effective Date:  December 31, 2019.  In Saskatchewan: Janaury 7, 2020.

  Note: Phased in transition period for certain sections.

  31_103_ni_january_7_2020.pdf
• Amendments to National Instrument 31-103

  Effective Date: December 31, 2019. In Saskatchewan: January 7, 2020.

  Note: Phased in transition period for certain sections.

  31_103_ni_december_31_2019.pdf
• The Securities Commission (Adoption of National Instruments) (NI 31-103) Amendment Regulations, 2019

  Effective Date: June 12, 2019.

  31_103_ni_may_9_2019.pdf
• Amendments to National Instrument 31-103

  Effective Date:  June 12, 2019.

  31_103_ni_june_12_2019.pdf
• The Securities Commission (Adoption of National Instruments) (NI 31-103) Amendment Regulations, 2018

  Effective Date: June 12, 2018.

  31_103_ni_may_17_2018.pdf
• Amendments to National Instrument 31-103

  Effective Date:  June 12, 2018.

  31_103_ni_june_12_2018.pdf
• Amendments to National Instrument 31-103

  Effective Date: December 4, 2017. 

  31_103_ni_december_4_2017.pdf
• Amendments to National Instrument 31-103

  Effective Date:  February 1, 2017.  In Saskatchewan: February 8, 2017.

  31_103_ni_february_1_2017.pdf
• Form 31-103F1 Calculation of Excess Working Capital

  Effective Date: January 11, 2015.

  31_103_f1_january_11_2015.pdf
• Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service

  Effective Date: January 11, 2015.

  31_103_f2_january_11_2015.pdf
• Form 31-103F3 Use of Mobility Exemption

  Effective Date:  July 11, 2011.

  31_103_f3_january_11_2015.pdf
• Form 31-103F4 Net Asset Value Adjustments

  Effective Date:  January 11, 2015.

  31_103_f4_january_11_2015.pdf
• Companion Policy 31-103CP

  Effective Date: September 28, 2009. Consolidated to May 5, 2015.

  31_103_cp_may_5_2015.pdf
• Amendments to Companion Policy 31-103CP

  Full cost disclosure and product performance reports for segregated funds and investment funds (“Total Costs Report”).

  Effective Date: January 1, 2026

  amendments_to_31_103cp.pdf
• Changes to Companion Policy 31-103

  Effective Date: June 1, 2022.

  31_103_cp_changes_january_20_2022.pdf

• Changes to Companion Policy 31-103CP

  Effective Date: June 6, 2022.
   

  31_103_cp_changes_december_16_2021.pdf
• Changes to Companion Policy 31-103CP

  Effective Date: December 31, 2021.

  31_103_cp_july_15_2021.pdf
• Changes to Companion Policy 31-103CP

  Effective Date: Subject to the effective date of the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.

  31_103_cp_february_4_2021.pdf
• Changes to Companion Policy 31-103CP

  Effective Date: March 1, 2021.

  31_103_cp_august_6_2020.pdf
• Proposed Changes to Companion Policy 31-103CP

  Effective Date: December 31, 2019.

  31_103_cp_march_15_2019.pdf
• Changes to Companion Policy 31-103CP

  Effective Date:  December 4, 2017. 

  31_103_cp_july_27_2017.pdf