Regulatory Alerts2023-08-17
Dual Registered Firm Guide
The Canadian Securities Administrators issued this guide to assist firms in applying for dual registration as both an investment dealer and a mutual fund dealer. It outlines specific filing obligations under National Instrument 33-109 and CIRO membership processes for new applicants, existing firms adding a category, and firms combining operations. The document details required forms for individuals, compliance officers, and business locations, while also addressing Québec-specific regulatory transition requirements.
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