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NATIONAL INSTRUMENT 31103
REGISTRATION REQUIREMENTS, EXEMPTIONS
AND ONGOING REGISTRANT OBLIGATIONS
Table of ContentsIndividual
registrationPart 1Interpretation1.1
1.2
1.3Definitions of terms used
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How to fill out national instrument 31-103 registration
How to fill out national instrument 31-103 registration
01
To fill out National Instrument 31-103 registration, follow these steps:
02
Gather all the necessary information and documents required for the registration process.
03
Complete the registration form accurately and provide all the requested details.
04
Ensure that you meet all the eligibility criteria and requirements specified by the regulatory body.
05
Attach any supporting documents or additional information as necessary.
06
Review the filled form to ensure all the provided information is accurate and complete.
07
Submit the registration form along with any required fees or payments.
08
Wait for the regulatory body to review your application and notify you of the outcome.
09
If approved, follow any further instructions provided by the regulatory body to complete the registration process.
10
Once successfully registered, comply with all the ongoing obligations and reporting requirements as per the regulations.
Who needs national instrument 31-103 registration?
01
National Instrument 31-103 registration is required for individuals or entities involved in the following activities:
02
- Trading securities on behalf of clients
03
- Advising clients on securities
04
- Managing investment funds
05
- Operating as a mutual fund dealer
06
- Acting as an exempt market dealer
07
- Dealing in or advising on derivatives
08
- Acting as a portfolio manager
09
- Operating a securities exchange
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What is national instrument 31-103 registration?
National Instrument 31-103 is a regulation that sets out the registration requirements for individuals and firms engaging in securities trading and advising in Canada.
Who is required to file national instrument 31-103 registration?
Individuals and firms that provide advice or trade in securities must register under National Instrument 31-103, including investment dealers, portfolio managers, and exempt market dealers.
How to fill out national instrument 31-103 registration?
To fill out the national instrument 31-103 registration, applicants must complete an online application form provided by their provincial securities regulator and submit any required supporting documents.
What is the purpose of national instrument 31-103 registration?
The purpose of national instrument 31-103 registration is to protect investors by ensuring that individuals and firms meet specific standards and requirements to operate in the securities market.
What information must be reported on national instrument 31-103 registration?
Applicants must report personal and business information, including details about their education, employment history, proficiency, and any disciplinary history.
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