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Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice) - Withdrawn

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  Securities Division

  Suite 601, 1919 Saskatchewan Drive

  Regina, Saskatchewan S4P 4H2

  Tel: (306)787-5645

  Fax: (306)787-5899

  Email: fcaa@gov.sk.ca
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  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National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice) - Withdrawn

  • 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 No longer in effect: March 7, 2019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