Regulatory Alerts2023-09-13
Regulation 33-109 Respecting Registration Information
This regulation establishes the requirements for registration, changes, and record-keeping under the Securities Act. It mandates that firms and individuals submit specific forms to regulators for initial registration, reinstatement, and updates to personal or firm information within defined timeframes. Additionally, it imposes due diligence and retention obligations on sponsoring firms to verify the accuracy of submitted data and maintain relevant documents for at least seven years.
Share