Regulatory Alerts2023-09-13
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 eligible and permitted clients, outlines exemptions for client mobility, and sets standards for custodians and financial exploitation protections. The document mandates specific continuing education, compliance officer duties, and disclosure requirements to ensure registrants act fairly and honestly.
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