Regulatory Alerts2022-06-01
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 in the Canadian securities industry. It defines key terms such as eligible clients and permitted clients, and outlines exemptions including the client mobility provision for individuals registered in their principal jurisdiction. The document further details specific registration categories for individuals, such as dealing and advising representatives, and sets forth general proficiency standards and examination requirements for new entrants.
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