Regulatory Alerts2020-12-31
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 permitted clients and qualified custodians while outlining specific registration categories for individuals and firms. The document further details proficiency requirements, client mobility exemptions, and the duties of designated persons to ensure regulatory compliance across jurisdictions.
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