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Canada - April 15 2013
On July 15, 2013, amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and…
Canada - April 5 2013
Over 70 financial services and investment industry participants commented - some in great detail - on the Canadian Securities Administrators'…
Canada - October 16 2012
What’s Ahead? At a Glance outlines the key securities regulatory developments that will affect the investment management industry in Canada.
Canada - July 24 2012
In mid-June 2012, the Canadian Securities Administrators (the CSA) released for comment a revised version of proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), as well as to its Companion Policy [available here] that, when finalized, will require additional disclosure by registered firms in Canada to their clients.
Canada - July 19 2012
The requirement that a registered firm provide its clients with an independent dispute resolution or mediation service as provided for in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) has been deferred for an additional two years from September 28, 2012 to September 28, 2014.
