Message Alert

The FCAA is open to the public and masks are mandatory. Please contact staff members by phone or email to arrange a meeting. Visit our telephone directory for staff contact information. For further assistance you can contact 306-787-5645. 
 

Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

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: Subject to Ministerial Approval.

      31_103_ni_july_15_2021.pdf
    • Amendments to National Instrument 31-103

      Effective Date: Subject to Ministerial Approval.

      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
    • 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 published July 15, 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: Subject to the effective date of the Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations - 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

Agree Term