Regulatory Alerts2021-07-01
Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations
Issued under the Securities Act, this regulation establishes the registration categories, proficiency requirements, and ongoing obligations for individuals and firms operating in Canadian securities markets. It defines key terms such as permitted clients and qualified custodians while outlining exemptions for client mobility and specific dealer activities. The document mandates that registered entities adhere to strict standards for account management, reporting, and compliance to ensure market integrity.
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