Regulatory Alerts2019-12-31
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Regulation 31-103 respecting Registration Requirements, Exemptions and Ongoing Registrant Obligations
Issued by Canadian securities regulators under the Securities Act, this regulation establishes the comprehensive framework for registration requirements, exemptions, and ongoing obligations for market participants. It defines key terms such as permitted clients and custodians while specifying individual registration categories and proficiency exam requirements for dealers and advisers. The text further outlines mobility exemptions for individuals and mandates specific compliance functions for ultimate designated persons and chief compliance officers.
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