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ANNEX D BLACKLINE SHOWING CHANGES TO NATIONAL INSTRUMENT 31103 REGISTRATION REQUIREMENTS, EXEMPTIONS AND ONGOING REGISTRANT OBLIGATIONS UNDER THE AMENDMENTS NATIONAL INSTRUMENT 31103 REGISTRATION

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How to fill out 31-103 - registration requirements

01

Step 1: Gather all the required information and documents such as business name, contact information, business structure, etc.

02

Step 2: Complete the Form 31-103F1 - Registration Application. Provide accurate and detailed information in each section.

03

Step 3: Attach any additional supporting documents required by the regulatory authority.

04

Step 4: Pay the applicable registration fee as specified by the regulatory authority.

05

Step 5: Submit the completed application form and supporting documents to the regulatory authority through the specified submission method.

06

Step 6: Wait for the regulatory authority to review your application. They may request additional information or clarification if needed.

07

Step 7: Once your application is approved, carefully review any terms and conditions provided by the regulatory authority.

08

Step 8: Comply with all ongoing reporting and compliance requirements as outlined by the regulatory authority.

Who needs 31-103 - registration requirements?

01

Financial service providers such as investment advisors, mutual fund dealers, portfolio managers, exempt market dealers, and others who are engaged in activities regulated by the securities regulatory authority.

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What is 31-103 - registration requirements?

31-103 - registration requirements refers to the regulatory framework established for individuals and firms that engage in securities activities. This regulation outlines the necessary steps for registration with the appropriate regulatory authority.

Who is required to file 31-103 - registration requirements?

Individuals and firms that act as dealers, advisers, and investment fund managers in the securities industry are required to file under 31-103 - registration requirements.

How to fill out 31-103 - registration requirements?

To fill out the 31-103 registration requirements, applicants must complete the appropriate forms provided by the regulatory authority, providing necessary personal and business information, including details of the business, relevant qualifications, and any disciplinary history.

What is the purpose of 31-103 - registration requirements?

The purpose of 31-103 - registration requirements is to ensure that individuals and firms engaging in securities activities are registered and meet the necessary standards of conduct and competence in order to protect investors and maintain market integrity.

What information must be reported on 31-103 - registration requirements?

Information required includes personal details of registrants, business structure, financial statements, compliance history, and any relevant criminal or regulatory history.

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