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National Instrument 31103 Registration Requirements and Exemptions Table of contents Part 1Interpretation1.1 1.2 1.3 Individual registrationPart 2Definitions of terms used throughout this Instrument

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How to fill out 31-103 - registration requirements

01

Step 1: Determine the registration category that applies to your firm.

02

Step 2: Complete Form 33-109F4 - Registration Information. Provide all the requested information including the firm's contact details, key personnel information, business activities, and financial information.

03

Step 3: Prepare and provide supporting documents. This may include financial statements, business plan, organization chart, partnership agreement, and any other relevant documents.

04

Step 4: Pay the required registration fees.

05

Step 5: Submit the completed Form 33-109F4 and supporting documents to the appropriate regulatory authority.

06

Step 6: Await confirmation of registration or further instructions from the regulatory authority.

07

Step 7: Maintain compliance with ongoing registration requirements, such as filing annual financial statements and updating registration information as necessary.

Who needs 31-103 - registration requirements?

01

Any firm or individual in Canada that wishes to engage in specified activities related to securities trading, advising, or dealing must comply with the 31-103 - registration requirements. This includes investment advisers, dealers, portfolio managers, advisers to investment funds, and any other entity involved in the securities industry.

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What is 31-103 - registration requirements?

31-103 - registration requirements outlines the regulatory obligations for individuals and entities seeking to register and operate as securities dealers or advisers in Canada.

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

Individuals or firms engaging in activities that require registration under Canadian securities laws, including investment dealers and advisers, are required to file 31-103.

How to fill out 31-103 - registration requirements?

To fill out 31-103, applicants must complete a registration application form, providing necessary personal, business, and financial information, alongside detailed disclosures as required by the applicable regulatory bodies.

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

The purpose of 31-103 is to ensure that all individuals and firms engaging in securities activities meet the necessary qualifications and standards to protect investors and maintain the integrity of the securities market.

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

Applicants must report personal identification information, business structure, compliance policies, financial statements, and any prior regulatory disciplinary actions.

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