Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

31-339 – Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice)

  • 31-339 – Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice)

    • CSA Staff Notice 31-339

      Effective Date:  May 29, 2014... No longer in effect: March 7, 2019

      All CSA members have issued parallel orders that provide Investment Industry Regulatory Organization of Canada (IIROC) member firms with relief from certain provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), which form part of the Client Relationship Model Phase 2 (CRM2). All CSA members except Québec have issued parallel orders that provide Mutual Fund Dealers Association of Canada (MFDA) member firms with relief from certain CRM2 provisions of NI 31-103. Those CRM2 provisions of NI 31-103 do not apply to IIROC and MFDA member firms, provided they comply with the corresponding requirements of IIROC and the MFDA, respectively.

      31_339_csa_staff_notice_may_29_2014.pdf
    • CSA Staff Notice 11-341

      This notice formally withdraws a number of CSA Staff Notices.

      csa_staff_notice_11_341_march_7_2019.pdf
    • Saskatchewan General Ruling/Order 31-927 - IIROC Member Firms

      In Effect:  July 15, 2014

      31_927_gro_may_27_2014.pdf
    • Saskatchewan General Ruling/Order 31-928 - MFDA Member Firms

      In Effect:  July 15, 2014

      31_928_gro_may_27_2014.pdf

Agree Term