• Frequently Asked Questions: Regulation 31-103 respecting Registration Requirements and Exemptions and Related Regulations - Consolidated version as of February 5, 2010 

The Autorité des marchés financiers (the “Authority”) is actively taking part in the registration reform project undertaken by the Canadian Securities Administrators (CSA).  The project, which is being implemented through draft Regulation 31-103 respecting registration requirements (“Regulation 31-103”), seeks to harmonize, streamline and modernize the registration regime across Canada.  The objective of Regulation 31-103 is to create a flexible regime leading to administrative efficiencies and reduced regulatory burden for registrants. The Regulation 31-103 came into force on September 28, 2009.
 

Documents for consultation

June 25, 2010 publication :

• Notice of and request for comment dated June 25, 2010
  
• Regulation to amend Regulation 31-103 Respecting Registration Requirements and Exemptions
  
• Unofficial blacklined version of Regulation 31-103 Registration Requirements and Exemptions, showing proposed changes
  
• Amendments to Policy Statement to Regulation 31-103 Registration Requirements and Exemptions
  
• Unofficial blacklined version of Policy Statement to Regulation 31-103 Registration Requirements and Exemptions, showing proposed changes
  
• Regulation to amend Regulation 33-109 Respecting Registration Information
  
• Unofficial blacklined version of Regulation 33-109 Respecting Registration Information showing proposed changes
  
• Amendments to Policy Statement to Regulation 33-109 respecting Registration Information
  
• Unofficial blacklined version of Policy Statement to Regulation 33-109 respecting Registration Information, showing proposed changes
   

 CSA Staff Notice :

• CSA Staff Notice 31-310: Proposed Regulation 31-103 respecting Registration Requirements and Proposed Policy Statement to Regulation 31-103 respecting Registration Requirements
   
• CSA Staff Notice 31-311: Draft Regulation 31-103 respecting Registration Requirements and Exemptions - Transition into the New Registration Regime
   
• CSA Staff Notice 31-312 : The Exempt Market Dealer Category under Regulation 31-103 respecting Registration Requirements and Exemptions
    
• CSA Staff Notice 31-313: Regulation 31-103 respecting Registration Requirements and Exemptions and Related Regulations - Frequently Asked Questions as of December 18, 2009
   
• CSA Staff Notice 31-314: Regulation 31-103 respecting Registration Requirements and Exemptions and Related Regulations - Frequently Asked Questions as of February 5, 2010
   
• CSA Staff Notice 31-315: Omnibus / blanket orders exempting registrants from certain provisions of Regulation 31-103 respecting Registration Requirements and Exemptions
• • Décision générale visant le maintien des dispositions transitoires prévues à la Partie 16 du Règlement 31-103 sur les obligations et dispenses d’inscription à l’égard d’une personne inscrite ajoutant un territoire (2010-PDG-0039)
    (Available in French only)
  • Décision générale relative à la dispense de l’application des exigences de compétencedu chef de la conformité au bénéfice des gestionnaires de portefeuille ajoutant une catégorie d’inscription (2010-PDG-0040)
    (Available in French only)
  • Dispense des exigences de compétence au bénéfice des représentants-conseil de gestionnaires de portefeuille ajoutant la catégorie de courtier en épargne collective ou de courtier sur le marché dispensé (2010-PDG-0041)
    (Available in French only)
  • Décision générale relative à la dispense de l’application de l’article 3.3 du Règlement 31-103 sur les obligations et dispenses d’inscription au bénéfice des représentants de courtiers en plans de bourses d’études (2010-PDG-0042)
    (Available in French only)
  • Décision générale relative à la dispense de l’application de l’article 14.5 du Règlement 31-103 sur les obligations et dispenses d’inscription au bénéfice de certaines personnes inscrites au Canada (2010-PDG-0043)  
    (Available in French only)
  • Décision générale relative à la dispense de l’application du sous-paragraphe b) du paragraphe 2) de l’article 13.2 du Règlement 31-103 sur les obligations et dispenses d’inscription au bénéfice des courtiers en épargne collective (2010-PDG-0044)  (Available in French only)
       
• CSA Staff Notice 31-316 : Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments
   
• Décision générale visant une dispense de l’application de l’article 11.13 du Règlement sur les instruments dérivés en faveur des chefs de la conformité des gestionnaires de portefeuille inscrits conformément à l’article 54 de la Loi sur les instruments dérivés (Available in french only)
   
• Summary of the general order from the application of section 11.13 of the Derivatives Regulation for chief compliance officers of portfolio managers registered pursuant to section 53 of the Derivatives Act 
•  
• General registration exemption order for foreign sub-advisers (sections 148 and 149 of the Securities Act) 
   
• Avis concernant la décision générale relative à la dispense d'application des articles 54, 56 et du premier alinéa de l'article 82 de la Loi sur les instruments dérivés (décision n° 2009-PDG-0007) (Available in french only) 
   
• Avis - Maintien de la décision générale relative a la dispense d’application des articles 54, 56 et du premier alinéa de l’article 82 de la Loi sur les instruments dérivés (Available in french only) 

• Second consultation document on the regulatory framework applicable to the mutual fund sector — Web version of the Consultation Notice
• Second document for consultation (Revised version)

Feedback:
In connection with the second consultation on the regulatory framework applicable to the mutual fund sector in Québec further to the registration reform project, the following organizations and individuals have provided comments to the AMF:

Notice of publication of proposal document on the regulatory framework applicable to the mutual fund sector

  
Consultation document on the regulatory framework applicable to the mutual fund sector — Web version of the Consultation Notice

• Document for consultation

The French version of the proposal document have also been published in the Authority’s Bulletin on February 23, 2007.

Feedback:
In connection with the consultation on the regulatory framework applicable to the mutual fund sector in Québec further to the registration reform project, the following organizations and individuals have provided comments to the AMF: