Gouvernement Securities Law and Policy Category 3: Registration Requirements and Related Matters Date de publication: Novembre 7, 2024 Partager cette page Le contenu suivant est seulement disponible en anglais. CSA Instruments and Policies 31-102 National Instrument - National Registration Database as of January 13, 2014 31-102 CP Companion Policy - National Registration Database as of September 28, 2009 31-103 National Instrument - Registration Requirements, Exemptions and Ongoing Registrant Obligations as of September 13, 2023 31-103 CP Companion Policy - Registration Requirements, Exemptions and Ongoing Registrant Obligations as of June 06, 2022 31-202 MP Multilateral Policy - Registration Requirement for Investment Fund Managers as of September 28, 2012 33-105 National Intrument - Underwriting Conflicts as of September 08, 2015 33-105 CP Companion Policy - Underwriting Conflicts as of September 28, 2009 33-109 National Instrument - Registration Information as of September 13, 2023 33-109 CP Companion Policy - Registration Information as of June 06, 2022 35-101 National Instrument - Conditional Exemption from Registration for United States Broker-Dealers and Agents as of January 01, 2001 35-101 CP Companion Policy - Conditional Exemption from Registration for United States Broker-Dealers and Agents as of January 01, 2001 Local Rules and Blanket Orders 31-501 (Repeal) Prince Edward Island Rule 31-501 - Transitional Registration Requirements 31-502 (Blanket Order) (Revoked) Registration Requirements and Exemptions in connection with transition and grandfathering matters 31-503 (Blanket Order) (Revoked) Registration Requirements and Exemptions for Chief Compliance Officers of Portfolio Managers Adding a Category 31-504 (Blanket Order) (Revoked) Registration Requirements and Exemptions for Canadian Firms 31-505 (Blanket Order) (Revoked) Registration Requirements and Exemptions for Mutual Fund Dealers 31-506 (Blanket Order) (Revoked) Registration Requirements and Exemptions for Representatives of Scholarship Plan Dealers 31-507 (Blanket Order) (Revoked) Registration Requirements and Exemptions for Portfolio Managers Adding a Category 31-508 (Blanket Order) Exemption from the Registration Requirement for Trades in Short-Term Debt Instruments 31-509 (Blanket Order) Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firms 31-510 (Blanket Order) Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for MFDA member firms 31-511 (Blanket Order) Exemption from the Registration Requirement for Trades in Short-Term Debt Instruments 31-512 (Blanket Order) Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firms 31-513 (Blanket Order) Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for MFDA member firms 31-514 (Blanket Order) Exemption from the Registration Requirement in NI 31-103 for International Dealers 31-515 (Blanket Order) Exemption from the Registration Requirement in NI 31-103 for International Advisors 31-516 (Blanket Order) Exemption from the Requirement to Register as an Investment Fund Manager 31-517 (Blanket Order) Exemption from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103 31-518 (Blanket Order) IIROC 2014 CRM2 Amendments 31-519 (Blanket Order) MFDA 2014 CRM2 Amendments 31-520 (Blanket Order) Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 31-521 (Blanket Order) In the Matter of Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Market Participants 31-522 (Blanket Order) In The Matter of Relief In Respect of Client Focused Reforms 31-523 (Blanket Order) In The Matter of Relief In Respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations 31-524 (Blanket Order) In the Matter of Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Market Participants (No. 2) 31-525 (Local Rule) Conditions of Registration - Approved Compensation and Contingency 31-801, 31-801 (Repeal) Prince Edward Island Rule 31-801 - Requirements Under the National Registration System 31-802, 31-802 (Amendment), 31-802 (Amendment) Prince Edward Island Rule 31-802 - National Registration Database 31-803, 31-803 (Amendment - New Title: Registration Requirements and Exemptions and Ongoing Registrant Obligations), 31-803 (Amendment), 31-803 (Amendment) Prince Edward Island Rule 31-803 - Registration Requirements and Exemptions 31-930 (CSA Coordinated Blanket Order) Exemption to Allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities Under a Prospectus 32-501 (Blanket Order) Prince Edward Island Rule 32-501 - Exemption from the dealer registration requirement and the adviser registration requirement in respect of trades and advice for U.S. resident clients 33-501, 33-501 (Repeal) Prince Edward Island Rule 33-501 - Permanent Registration 33-502 Prince Edward Island Rule 33-502 - Disclosure of Sales Charges 33-503 (Blanket Order) In the Matter of Calls to Residences by Registrants - Cold Calling 33-504 (Blanket Order) In the Matter of Registration Exemption Enabling a Corporation of an Individual Registrant of a Mutual Fund Dealer or Investment Dealer to Receive Directed Sales Commissions or Fees 33-802, 33-802 (Repeal) Prince Edward Island Rule 33-802 - Regulation of Certain Registrant Activities 33-805, 33-805 (Amendment), 33-805 (Amendment), 33-805 (Amendment) Prince Edward Island Rule 33-805 - Underwriting Conflicts 33-809, 33-809 (Amendment), 33-809 (Amendment), 33-809 (Amendment) Prince Edward Island Rule 33-809 - Registration Information 35-801 Prince Edward Island Rule 35-801 - Conditional Exemption from Registration for United States Broker-Dealers and Agents Renseignements généraux Division des services financiers et aux consommateurs Ministère de la Justice et de la Sécurité publique Immeuble Shaw (nord), 1er étage 105, rue Rochford C.P. 2000 Charlottetown (Île-du-Prince-Édouard) C1A 7N8 Téléphone: (902) 368-4550 Télécopieur: (902) 368-5283 ccs@gov.pe.ca