PART 3 -
REGISTRATION AND RELATED MATTERS |
Registration Requirements |
31-101 |
National Instrument |
National
Registration System
Amendments
Form
31-101F1 Election to Use NRS and Determination of
Principal Regulator
Form
31-102F2 Notice of Change |
April 4, 2005
August 1, 2006 |
Provides exemptive relief so
that filers under the National Registration System must
only comply with the fit and proper and other like
requirements of their principal regulator. |
31-201 |
National Policy |
National
Registration System
Amendments |
April 4, 2005
August 1, 2006 |
Sets out the procedure to be
followed by filers who are submitting applications under
the National Registration System (NRS). The NRS is a mutual
reliance system for registration of investment dealers,
mutual fund dealers and advisers and their sponsored
individuals. |
31-102 |
Multilateral Instrument |
National
Registration Database
|
March 31, 2003, except for
sections 7.1 and 7.2 which come into force on Feb 3, 2003 |
Requires that certain
registration information, including applications for
registration by individuals, be submitted to regulators
electronically through the NRD. |
31-102CP |
Companion Policy |
Companion
Policy to Multilateral Instrument 31-102 |
March 31, 2003. |
|
31-501 |
Local Instrument |
SRO Membership for Securities Dealers and Brokers |
March 15, 2001 |
Requires securities dealers and brokers to apply for membership with the Investment Dealers Association of Canada by May 31, 2001 and to become members by July 2, 2002. |
31-502 |
Local Instrument |
SRO Membership for Mutual Fund Dealers |
March 15, 2001 |
Requires mutual fund dealers to apply for membership with the Mutual Fund Dealers Association by May 31, 2001 and to become members by July 2, 2002. |
31-701 |
Saskatchewan Staff Notice |
Form 4s Not Required for Certain Non-Trading Officers |
April 30, 2001 |
Declares that firms that do not have their head office in Saskatchewan no longer have to submit Form 4s for their non-trading officers. |
31-702 |
Saskatchewan Staff Notice |
Registration
Proficiency Requirements |
Jan 1, 2006. Amended
August 8, 2006. |
Sets out the courses that
the Director has designated under sections 37 and 38 of
The Securities Regulations. |
31-801 |
Implementing Order |
Implementing
the National Registration Database |
Feb 12, 2003 |
Exempts certain registrants
from the requirements of Multilateral Instrument 31-102
National Registration Database on certain conditions. |
31-804 |
Implementing Order |
Extending
Time Periods under MI 31-102 and MI 33-109 |
Nov 14, 2003 |
Extends the time periods in
which registrants are required to file certain
information under the transitional provisions of MI
31-102 and MI 33-109 to December 15,
2003. Extends certain other deadlines under March
31, 2006. Also grants an exemption for registered
firms and individuals from filing certain forms under MI
31-102 and MI 33-109 where certain changes to an
individual's personal information do not affect the
individual's suitability for registration or status as a
non-registered inidividual. |
31-901 |
General Exemption Order |
Advisors to Immigrant Investment Syndicates |
April 20, 1990. |
Varies certain registration requirements for advisers to immigrant investment syndicates on certain conditions. |
31-902 |
General Exemption Order |
Saskatchewan Small Business Security Issuers |
July 7, 1998.
Amended June 8, 2002. |
Varies certain registration requirements for certain securities issuers. |
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Registration Exemptions |
32-501 |
Saskatchewan Local
Instrument |
Local Instrument
32-501 Deposit Agents
Appendix
A - Submission to Jurisdiction
Appendix
B - Undertaking to Provide Information
Appendix
C - Disclosure Statement to New Clients
Form 32-501F1
- Report by Mutual Fund Dealer pursuant to clause 4(d)
Form 32-501F2
- Application for Registration as a Deposit Agent
Form 32-501F3
- Salespersons and Officials Application for
Registration
Form 32-501F4
- Deposit Agent Annual Report
Form 32-501F5
- Auditor's Report
Form 32-501F6
- Financial Institution Annual Report
|
January 1, 2005 |
Requires intermediaries who
trade in guaranteed investment certificates to be
registered. Also imposes reporting requirements on
financial institutions. |
32-702 |
Saskatchewan Staff Notice |
Saskatchewan
Staff Notice 32-802 Saskatchewan Local Instrument 32-501
Deposit Agents
|
October 1, 2006 |
Updates the implementation
of Saskatchewan Local Instrument 32-501 Deposit
Agents |
32-801 |
Implementing Order |
Suspension of LI 32-501 Deposit Agents |
December 5, 2005. Amended
Feb 13, 2006. Amended October 1, 2006 |
Suspends the implementation of
LI 32-501 indefinitely. |
32-901 |
General Exemption Order |
Direct Purchase Plans |
August 21, 2002 |
Grants an exemption permitting a reporting issuer (other than a mutual fund) and an administrator of the reporting issuer to trade in the issuer's own securities under a direct purchase plan, subject to certain conditions. |
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Ongoing Requirements Affecting Registrants |
33-102 |
National Instrument |
Regulation of Certain Registrant Activity |
In effect August 1, 2001 |
Requires registrants to provide with disclosure about certain products and risks. |
33-102CP |
Companion Policy |
Regulation of Certain Registrant Activity |
In effect August 1, 2001 |
Companion policy to National Instrument 33-102 Regulation of Certain Registrant Activity. |
33-105 |
National Instrument |
Underwriting
Conflicts |
September 14, 2005 |
Imposes disclosure of
relationships and an independent underwriter requirement in
certain situations where there is a relationship between
the issuer and the underwriter. |
|
Companion Policy |
Underwriting
Conflicts |
September 14, 2005 |
Companion policy to NI 33-105 |
33-109 |
Multilateral Instrument |
Registration
Information
Form 33-109F1
Notice of Termination
Form 33-109F2
Change or Surrender of Individual Categories
Form 33-109F3
Business Locations Other Than Head Office
Form 33-109F4
Registration Information for an Individual
Form 33-109F5
Change of Registration Information
|
February 21, 2003 |
Consolidates and harmonizes
requirements regarding initial submission of registration
information and updating that information |
33-109 |
Multilateral Instrument |
Registration
Information
Form 33-109F1
Notice of Termination
Form 33-109F2
Change or Surrender of Individual Categories
Form 33-109F3
Business Locations Other Than Head Office
Form 33-109F4
Registration Information for an Individual
Form 33-109F5
Change of Registration Information
|
February 21, 2003 |
Consolidates and harmonizes
requirements regarding initial submission of registration
information and updating that information |
33-109CP |
Companion Policy |
Companion
Policy to Multilateral Instrument 33-109 Registration
Information |
February 21, 2003 |
|
33-303 |
CSA Staff Notice |
Trust Accounts for Mutual Fund Securities |
In effect. May 14, 1999. |
Assists dealers in complying with section 12 of National Policy 39 Mutual Funds, and sets out staff's views on the minimum internal controls appropriate to ensure dealers meet these requirements. |
33-304 |
CSA Notice |
CSA Distribution Structures Committee Position Paper |
In effect. August 24, 1999. |
Sets out the CSA's policy positions that address the regulatory issues that have arisen due to changes that are occurring in the manner in which securities firms structure their businesses provide securities trading and advising services to the public. |
33-305 |
CSA Staff Notice |
Sale of Insurance Products by Dually Employed Salespersons |
January 7, 2000. |
Clarifies that CSA Distribution Structures Position Paper does not require salespersons to offer the sale of insurance products through a dealer. |
33-307 |
CSA Staff Notice |
List
of Canadian Registrant and Non-Registrant Firms that
Completed the CSA STP Readiness Assessment Survey |
July, 2003 |
Lists the firms that responded
to the CSA's Straight-Through Processing Readiness
Assessment Survey. |
33-308 |
CSA Staff Notice |
The
CSA STP Readiness Survey Report is Now Available on the OSC
Web site |
Sept 19, 2003 |
Gives notice that the STP
Readiness Survey Report is available on the OSC Web site. |
33-312 |
CSA Staff
Notice |
The
CSA STP Readiness
Assessment
Survey Report is Now Available on the OSC Web site |
Nov 5, 2004 |
Gives notice that the STP Readiness
Survey Report is available on the OSC Web site. |
33-401 |
CSA Notice |
Canadian Capital Markets Association T + 1 Paper |
Request for comment to May 8, 2001 |
Request for comment on the Canadian Capital Markets Association's paper on shortening the settlement period to one day after the trade (T + 1). |
33-502 |
Saskatchewan Instrument |
Requirements for Sale of Certain Securities
|
Jan 17, 2000.
Amended June 16, 2003. Amended Dec 31, 2004.
Amended September 19, 2005.
|
Imposes requirements on registrants selling securities under certain statutory exemptions. Requires sellers of scholarship plan securities to provide disclosure of certain details. Imposes additional requirements on sellers of labour-sponsored venture
capital fund securities. |
33-502CP |
Companion Policy |
Companion Policy to Saskatchewan Local Instrument 33-502 Requirements for Sale of Certain Securities |
January 17, 2000.
Amended June 16, 2003 |
Reminds sellers of certain exempt securities of existing reporting obligations under
The Securities Act, 1988 |
33-503 |
Saskatchewan Instrument |
Permanent Registration System |
Jan 9, 2002. Amended
Dec 31, 2004. |
Implements a permanent registration system in Saskatchewan for dealers and advisors. |
33-503CP |
Companion Policy |
Companion Policy to Saskatchewan Local Instrument 33-503 Permanent Registration |
January 9, 2002. Amended
May 9, 2003. |
Provides additional guidance regarding filings under Local Instrument 33-503 Permanent Registration System. |
33-701 |
Local Staff Notice |
Telemarketing Activities |
April 16, 1993. |
Sets out staff views on when telemarketers should be registered. |
33-702 |
Local Staff Notice |
Transfer of Registration |
April 16, 1993. |
Sets out what registered individuals must do if they wish to transfer from one company to another. |
33-704 |
Local Staff Notice |
Uniform Termination Notice |
May 28, 1992. |
Specifies the form of notice that individual registrants must give when their employment with a firm ends. |
33-705 |
Local Staff Notice |
Dealing with Non-Residents |
April 16, 1998. |
Provides guidance to registrants living in Saskatchewan who are considering dealing with investors who live elsewhere. Also provides guidance to registrants who do not live in Saskatchewan, but are considering dealing with investors who live in
Saskatchewan. |
33-706 |
Local Staff Notice |
Processing of Equity and Fixed Income Trades by Financial Institutions and Mutual Fund Dealers |
February 7, 2000. |
Sets out staffs' views on processing of equity and fixed income trades by financial institutions and mutual fund dealers. |
33-709 |
Saskatchewan Staff Notice |
Annual
Delivery of Registration Fees and Documents |
Nov 24, 2003 |
Describes the process for
the annual filing of documents and payment of fees. |
33-710 |
Saskatchewan Staff Notice |
Branch
Managers |
Oct 15, 2004 |
Sets out the application of
the branch manager requirement. |
33-711 |
Saskatchewan Staff Notice |
Adviser and Deposit
Agent Examinations |
June 1, 2005 |
Gives notice of examination
programs for advisers and deposit agents. |
33-712 |
Saskatchewan Staff Notice |
Surety Bond Not
Required for Mutual Fund Dealers That Participate in the
MFDA Investor Protection Corporation |
November 25, 2005 |
Gives notice that mutual
fund dealers that participate in the MFDA Investor
Protection Corporation are not required to maintain a
surety bond. |
33-901 |
General Exemption Order |
Suitability Requirements |
July 12, 2001 |
Exempts members of the Investment Dealers Association of Canada from the suitability requirements if they comply with certain IDA requirements. |
33-905 |
General Exemption Order |
Exemption from Certain
Provisions of Section 15 of Local Instrument 32-502
Requirements for Sale of Certain Securities |
Feb 23, 2005 |
Exempts managers doing a
suitability review of a labour-sponsored venture fund
security required by section 15 of Local Instrument
32-502 from the requirement to complete the Partners',
Directors' and Officers' Examination if they have
completed the Branch Managers' Course. |
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Fitness for Registration |
34-201 |
National Policy |
Breach of Requirements of Other Jurisdictions |
October 16, 1998. |
Gives notice to registrants and applicants for registration that a breach of the securities laws of another jurisdiction may be considered to affect the registrant's or applicant's fitness for registration. |
34-202 |
Multilateral Policy |
Registrants Acting as Corporate Directors |
October 16, 1998. |
Expresses the views of the CSA as to the potential for conflicts of interest arising if a registrant acts as a director of or advisor to a reporting issuer. |
34-601 |
Saskatchewan Policy Statement |
Procedure When Individual
Registrants Become in Financial Difficulty |
Feb 3, 1994.
Amended November 10, 2004.
Amended October 6, 2005. |
Sets out the procedure registrants or applicants must follow when they are in
financial difficulty. |
34-701 |
Local Staff Notice |
Registration of Individuals as Investment Counsel |
September 27, 1989. |
Sets out alternate registration requirements for junior investment counsel acting under the supervision of a senior investment counsel. |
34-702 |
Local Staff Notice |
Rewriting Proficiency Examinations |
January 20, 1994. |
Sets out staffs' views on when proficiency courses must be rewritten. |
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Non-Resident Registrants |
35-101 |
National Instrument |
Conditional Exemption From Registration for United States Broker-dealers and Agents |
In effect in Saskatchewan March 9, 2001 |
Provides U.S. broker-dealers and their agents with a conditional exemption from the applicable registration and prospectus requirements under Canadian securities legislation. |
35-301 |
CSA Staff Notice |
Conditional Exemption from Registration for United States Broker-Dealers and Agents |
August 16, 1999. |
States that the CSA expect to will proceed with proposed National Instrument 35-101 Conditional Exemption from Registration for United States Broker-Dealers and Agents when final rules by the SEC and certain state regulators are in place to provide
reciprocal relief. |
35-701 |
Saskatchewan Staff Notice |
Registration of
Non-Resident Individuals |
October 11, 2002 |
Sets out the conditions of registration that the
Director will apply to individuals who do not live
in Saskatchewan and are applying for registration. |
35-901 |
General Exemption Order |
Non-Resident Registrants |
May 1, 2000.
Amended August 28, 2001,
November 8, 2001, August 19, 2003 and Feb 23, 2005 |
Exempts investment dealers, brokers, exchange contract dealers and mutual fund dealers from the requirement to maintain a business office and books and records in Saskatchewan on certain conditions. Also exempts domestic advisers and international advisers
from the same requirements on certain conditions. |