Regulatory Alerts2019-06-12
Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations
Issued by Canadian securities regulators under the Securities Act, this regulation establishes the registration requirements, exemptions, and ongoing obligations for market participants. It defines key terms such as eligible clients and permitted clients, and outlines specific registration categories for individuals including dealing and advising representatives. The document further details proficiency requirements, examination standards, and mobility exemptions for individuals acting across jurisdictions.
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