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CSA Staff Notice 31338 Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a SelfRegulatory Organization May 1, 2014Introduction The

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Who needs csa staff notice 31-338?

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Individuals or organizations regulated by the CSA (Canadian Securities Administrators) may need to fill out CSA Staff Notice 31-338.

02

These may include investment advisors, securities dealers, portfolio managers, and other entities operating in the Canadian securities market.

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It is advisable to consult the specific requirements of the notice to determine if you fall under the category of those who need to submit it.

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What is csa staff notice 31-338?

CSA Staff Notice 31-338 is a notice published by the Canadian Securities Administrators (CSA) that provides guidance on filing requirements for exempt distribution reports.

Who is required to file csa staff notice 31-338?

Any issuer or underwriter who is making an exempt distribution must file CSA Staff Notice 31-338.

How to fill out csa staff notice 31-338?

CSA Staff Notice 31-338 can be filled out online through the submission portal provided by the applicable securities regulatory authority.

What is the purpose of csa staff notice 31-338?

The purpose of CSA Staff Notice 31-338 is to ensure transparency and compliance with the exempt distribution reporting requirements.

What information must be reported on csa staff notice 31-338?

The notice must include information about the issuer, the securities being distributed, the exemptions relied upon, and other relevant details.

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