FCAA is Saskatchewan’s financial and consumer marketplace regulator.
Home > Securities Industry Participants > Securities Laws > Regulatory Instruments > Part 3 - Registration and Related Matters > Part 3 - Registration and Related Matters Archive > 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National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice) - Withdrawn
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Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
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 No longer in effect: March 7, 2019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.
This notice formally withdraws a number of CSA Staff Notices.
In Effect: July 15, 2014
In Effect: July 15, 2014