Regulatory Alerts2022-06-06
Policy Statement to Regulation 33-109 Respecting Registration Information
The Canadian Securities Administrators issued this policy to interpret Regulation 33-109, which mandates that dealers, advisers, and investment fund managers maintain current registration information to ensure investor protection and market integrity. The document details specific forms and procedures for individuals and firms to apply for registration, report changes, and manage permitted individual status through the National Registration Database. It further establishes rigorous requirements for disclosing outside activities, resignations, and terminations to assess ongoing fitness for registration and manage conflicts of interest.
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