Regulatory Alerts2022-05-12
Regulation to Amend Regulation 31-103 Respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations
The regulatory authority amends Regulation 31-103 to facilitate the transition of Québec mutual fund dealers to the New Self-Regulatory Organization. The amendments insert specific geographic exclusions for Québec in Sections 3.16, 9.2, and 9.4 to align provincial requirements with the new national framework. Additionally, the regulation deems existing Québec-registered mutual fund dealers as members of the New SRO effective January 1, 2023, subject to the suspension or revocation of their registration rights.
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