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Financial and Consumer Affairs Authority of Saskatchewan
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National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice) - Withdrawn
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National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice) - Withdrawn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
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National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (National Notice) - Withdrawn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 31-33931_339_csa_staff_notice_may_29_2014.pdf
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 No longer in effect: March 7, 2019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.
- CSA Staff Notice 11-341csa_staff_notice_11_341_march_7_2019.pdf
This notice formally withdraws a number of CSA Staff Notices.
- Saskatchewan General Ruling/Order 31-927 - IIROC Member Firms31_927_gro_may_27_2014.pdf
In Effect: July 15, 2014
- Saskatchewan General Ruling/Order 31-928 - MFDA Member Firms31_928_gro_may_27_2014.pdf
In Effect: July 15, 2014
- CSA Staff Notice 31-339
