Regulatory Alerts2021-12-31
Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations
Issued by Canadian securities regulators under the Securities Act, this regulation establishes the comprehensive framework for registration requirements, exemptions, and ongoing obligations for market participants. It defines key terms such as qualified custodians and permitted clients, while specifying individual registration categories including dealing and advising representatives. The text further outlines proficiency exam requirements, client mobility exemptions, and specific duties for ultimate designated persons and chief compliance officers.
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