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Print Former 4 REGISTRATION OF SPONSORED BROKERDEALER OR SPONSORED INVESTMENT ADVISER Pursuant to section 56 (1) of the Securities Act, 2012 and bylaw 23 of the Securities (General) Bylaws, 2015 General Instructions:Please
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Gather all the necessary information and documentation required for the registration process.
02
Complete the registration application form accurately and provide all the requested details.
03
Attach any supporting documents or additional information as required by the regulatory authorities.
04
Pay the required registration fees, if applicable.
05
Submit the completed application form and supporting documents to the appropriate regulatory authority.
06
Await review and approval of the registration application.
07
Once approved, comply with any ongoing regulatory obligations and maintain proper record-keeping of transactions and activities.

Who needs registration of sponsored broker-dealer?

01
Any individual or firm that intends to engage in the business of acting as a sponsored broker-dealer needs to obtain registration.
02
This applies to entities involved in facilitating the buying and selling of financial securities on behalf of clients or customers.
03
Registration is necessary to ensure compliance with regulatory requirements and to protect investors from fraudulent or unethical practices.
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The registration of sponsored broker-dealer is a process by which a broker-dealer sponsors an individual to become associated with their firm.
The broker-dealer who is sponsoring an individual to become associated with their firm is required to file the registration of sponsored broker-dealer.
The registration of sponsored broker-dealer can be filled out by submitting Form BD to the Securities and Exchange Commission.
The purpose of registration of sponsored broker-dealer is to ensure that individuals associated with broker-dealers meet certain regulatory requirements.
The registration of sponsored broker-dealer must include information about the individual being sponsored, the sponsoring broker-dealer, and any disciplinary history.
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