Regulatory Alerts2022-03-17
Added · Updated
Amendments to Policy Statement to Regulation 33-109 respecting Registration Information
Canadian securities regulators amended Policy Statement 33-109 to update registration information requirements, including extending notice periods for certain changes from 10 to 15 days. The amendments introduce detailed guidance on assessing relevant securities experience and defining reportable outside activities, such as positions of influence or financial services provided to other entities. Additionally, the document clarifies procedures for reporting resignations, terminations, and legal actions, while updating forms and contact information for regulatory authorities.
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