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Key Regulatory Documents
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While Canada has a national registration and compliance regime under the CSA's National Instrument 31-103, there are other key regulatory documents the registered firms and individuals should be aware of - and they may depend on your jurisdiction of business in Canada.

The applicable legislation, regulations and rules will depend on: 1) the jurisdiction of residence of the investor and 2) the jurisdiction in which the EMD and Dealing Representative is registered - in other words, the jurisdiction in which the "registerable activity" occurs. The websites of the securities regulatory authority in each province and territory can be accessed through links in our "Industry Securities Links" section.

 

Regulatory Updates:

 

CSA Staff Notice 45-314 – Updated List of Current Exempt Market Initiatives, January 28, 2016

Summary of Key Capital Raising Prospectus Exemptions in Ontario, January 2016


Here are a number of key regulations to be aware of:

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