Regulatory Alerts2022-06-06
Regulation 33-109 respecting Registration Information
The securities regulatory authority in Québec issued Regulation 33-109 to establish the specific forms and procedures for registering dealers, advisers, and investment fund managers under the Securities Act. The regulation mandates that firms and individuals submit designated forms to update registration details, report changes to personal or business information, and notify authorities of employment terminations within strict 15 or 30-day deadlines. It further imposes due diligence and record-keeping obligations on sponsoring firms to verify the accuracy of submitted information and retain supporting documents for a minimum of seven years.
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