Regulatory Alerts2021-02-04
Draft Regulation to Amend Regulation 33-109 Respecting Registration Information
Canadian securities regulators issued a draft amendment to Regulation 33-109 to modernize registration information requirements and clarify outside activity reporting. The changes introduce new filing deadlines for changes to registration forms, with specific 30-day and 15-day windows depending on the data category, and allow firms to delegate notification duties to authorized affiliates. Additionally, the amendment updates the definition of cessation date, modifies Form 33-109F1 termination procedures, and revises personal information collection notices and contact details for regulatory authorities.
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