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Name: Fillable Online National Instrument 31-103: Registration Requirements and Exemptions (2014) Fax Email Print - pdfFiller
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Explore the comprehensive guidance on registration requirements, exemptions, and obligations for registrants in Canada\'s financial markets under National Instrument 31-103.

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What is national instrument 31-103 registration?

National Instrument 31-103 registration refers to the set of regulatory requirements in Canada that govern the registration of firms and individuals who are involved in the securities industry.

Who is required to file national instrument 31-103 registration?

The following entities are required to file national instrument 31-103 registration: investment dealers, portfolio managers, exempt market dealers, and individuals or firms that offer securities or investment advice.

How to fill out national instrument 31-103 registration?

To fill out the national instrument 31-103 registration, applicants need to complete the required forms available on the provincial securities regulatory authority's website, providing detailed information about the business, its directors, officers, and authorized individuals.

What is the purpose of national instrument 31-103 registration?

The purpose of national instrument 31-103 registration is to ensure that individuals and firms dealing in securities are qualified and meet the standards set by securities regulators to protect investors and maintain market integrity.

What information must be reported on national instrument 31-103 registration?

The registration must report information including the applicant's identity, business structure, financial information, compliance capabilities, and any past regulatory issues involving the applicant or its personnel.

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