Regulatory Alerts2022-06-06
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 registering individuals and firms in the securities industry. It defines specific categories of registration, outlines proficiency requirements including mandatory examinations, and provides exemptions such as the client mobility provision. The document further details ongoing obligations for registrants, including definitions of key terms like permitted clients and vulnerable clients to ensure market integrity and investor protection.
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