News Releases
Canadian Securities Regulators Publish Responses to Frequently Asked Questions About the New National Registration Regime
Dec 18, 2009
The Canadian Securities Administrators (CSA) today published Staff Notice 31-313, containing answers to frequently asked questions (FAQs) about the new Canada-wide registration regime.
The FAQ list was created from public inquiries that CSA members received concerning the new regime for the registration of firms and individuals who deal in securities, provide investment advice or manage investment funds.
The key components of the new regime, which came into force on September 28, 2009, include National Instrument 31-103 Registration Requirements and Exemptions and amendments to National Instrument 33-109 Registration Information. Staff Notice 31-313 was compiled in FAQ format in order to assist those working with these instruments. The Notice will be available on various CSA members’ websites and may be updated from time to time.
The CSA, the council of the securities regulators of Canada’s provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets.
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| Theresa Ebden Ontario Securities Commission 416-593-2361 |
Sylvain Théberge Autorité des marchés financiers 514-940-2176 |
| Mark Dickey Alberta Securities Commission 403-297-4481 |
Ken Gracey British Columbia Securities Commission 604-899-6577 |
| Ainsley Cunningham Manitoba Securities Commission 204-945-4733 |
Wendy Connors-Beckett New Brunswick Securities Commission 506-643-7745 |
| Natalie MacLellan Nova Scotia Securities Commission 902-424-8586 |
Barbara Shourounis Saskatchewan Financial Services Commission 306-787-5842 |
| Janice Callbeck PEI Securities Office Office of the Attorney General 902-368-6288 |
Doug Connolly Financial Services Regulation Div. Newfoundland and Labrador 709-729-2594 |
| Fred Pretorius Yukon Securities Registry 867-667-5225 |
Louis Arki Nunavut Securities Office 867-975-6587 |
| Donn MacDougall Northwest Territories Securities Office 867-920-8984 |