Securities Instruments

Securities Instruments

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CSA Staff Notice and Request for Comment 61-303 - Soliciting Dealer Arrangements

PDF • 65.86KB

CSA Notice and Request for Comment - Proposed National Instrument and Companion Policy 93-101 - Derivatives: Business Conduct

PDF • 477.47KB

CSA Staff Notice 51-354 - Report on Climate change-related Disclosure Project

PDF • 731.76KB

CSA Notice of Amendments Relating to Designated Rating Organizations - Amendments to 21-101CP, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102 and 81-102CP, and NI 81-106

PDF • 340.31KB

21-101.2018-03-29.en.pdf

PDF • 340.34KB

CSA Notice of Amendments Relating to Designated Rating Organizations - Amendments to 21-101CP, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102 and 81-102CP, and NI 81-106

PDF • 340.35KB

CSA Notice of Amendments Relating to Designated Rating Organizations - Amendments to 21-101CP, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102 and 81-102CP, and NI 81-106

PDF • 340.33KB

CSA Notice of Amendments Relating to Designated Rating Organizations - Amendments to 21-101CP, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102 and 81-102CP, and NI 81-106

PDF • 340.32KB

CSA Notice of Amendments Relating to Designated Rating Organizations - Amendments to 21-101CP, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102 and 81-102CP, and NI 81-106

PDF • 340.33KB

CSA Notice of Amendments Relating to Designated Rating Organizations - Amendments to 21-101CP, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102 and 81-102CP, and NI 81-106

PDF • 340.3KB

CSA Notice of Amendments Relating to Designated Rating Organizations - Amendments to 21-101CP, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102 and 81-102CP, and NI 81-106

PDF • 340.3KB

CSA Notice of Amendments Relating to Designated Rating Organizations - Amendments to 21-101CP, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102 and 81-102CP, and NI 81-106

PDF • 340.31KB

CSA Notice of Amendments to NI 45-102 and 45-102CP, to NI 31-103, and to NP 11-206

PDF • 412.8KB

CSA Notice of Amendments to NI 45-102 and 45-102CP, to NI 31-103, and to NP 11-206

PDF • 412.75KB

CSA Staff Notice 31-353 - OBSI Joint Regulators Committee Annual Report for 2017

PDF • 71.83KB

CSA Staff Notice 51-353 - Update on CSA Consultation Paper 51-404 - Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers

PDF • 160.88KB

CSA Staff Notice 23-322 - Trading Fee Rebate Pilot Study

PDF • 41.11KB

Monthly Suppression of Terrorism and Canadian Sanctions Report

PDF • 181.02KB

CSA Guide to Monthly Suppression of Terrorism and Canadian Sanctions Reporting (“STCS Guide”)

PDF • 65.31KB

CSA Staff Notice 31-352 - Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations

PDF • 83.5KB