Regulatory Alerts2023-01-01
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 operating in the Canadian securities industry. It defines key terms such as eligible and permitted clients, and outlines exemptions including the client mobility provision for representatives acting across jurisdictions. The document mandates specific educational exams and compliance functions for dealing and advising representatives to ensure market integrity and investor protection.
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