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Name: Fillable Online Ontario Securities Commission Bulletin - Client Focused Reforms Relief Order 2020 Fax Email Print - pdfFiller
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The Ontario Securities CommissionOSC Bulletin April 16, 2020 Volume 43, Issue 16 (2020), 43 OSCBThe Ontario Securities Commission administers the Securities Act of Ontario (R.S.O. 1990, c. S.5) and

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What is 31-103 - registration requirements?

31-103 - registration requirements refer to the regulations governing the registration of dealers and advisers in the securities industry in Canada. This involves ensuring that individuals and firms meet the necessary qualifications and adhere to compliance standards.

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

Individuals and firms that operate as dealers or advisers in the securities market must file 31-103 - registration requirements to be compliant with regulatory standards.

How to fill out 31-103 - registration requirements?

To fill out the 31-103 registration requirements, applicants must provide information regarding their business structure, qualifications, financial standing, and any relevant compliance history as specified in the application form.

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

The purpose of 31-103 registration requirements is to protect investors and ensure that those who deal in or advise on securities meet specific qualifications and standards to operate within the industry.

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

Information that must be reported includes personal identification, business details, financial information, compliance history, and any relevant disclosures that may impact the registration.

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