31-103 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions Updated as of February 5, 2010 [CSA Staff Notice]

Sign-up for updates about BCSC Policy Publications.

31-103 FAQ [CSA Notice], February 5, 2010
Published: 2010-02-05

Background

This list of frequently asked questions (FAQs) is compiled from staff notices containing FAQs about NI 31-103 Registration Requirements and Exemptions and Related Instruments that the CSA has published from time to time. It will be updated as further notices are published.

The most recent notice to be published is SN 31-314  - NI 31-103 Registration Requirements and Exemptions and Related Instruments - Frequently Asked Questions as of February 5, 2010. The FAQs addressed in this notice all relate to financial reporting requirements during the first year under the new registration regime that was introduced on September 28, 2009. The  FAQs added further to the most recent notice are indicated with an asterisk in the numbering column on the left side of
the document.