Regulatory Alerts2026-01-01
Added · Updated
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 and categories for individuals and firms, including specific proficiency exam requirements and client mobility exemptions for representatives operating across jurisdictions. The document further mandates ongoing compliance duties such as safeguarding client assets, managing conflicts of interest, and protecting vulnerable clients from financial exploitation.
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