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This document outlines amendments to Regulation 31-103 regarding registration requirements and exemptions for financial institutions under the Securities Act. It details changes in definitions, examination requirements, and the obligations of registered individuals and firms in relation to securities transactions. The amendments also specify conditions under which individuals can act as representatives or advisers, and the requirements for capital calculations and financial disclosures.

How to fill out regulation 31-103 - lautorite

How to fill out regulation 31-103

1. Gather the required identification documents such as personal identification and proof of address.
2. Understand the categories of registration applicable to your business.
3. Complete the application form provided by your regulatory authority.
4. Provide detailed information about your business operations, including the type of services offered and target clientele.
5. Disclose any conflicts of interest and compliance with anti-money laundering requirements.
6. Submit the necessary fees along with your application.
7. Wait for a review and potential follow-up from the regulatory body regarding your application status.
8. Upon approval, ensure you maintain compliance with ongoing requirements as outlined in Regulation 31-103.

Who needs regulation 31-103?

1. Individuals or firms that engage in investment advising, dealing in securities, or providing financial services in Canada must comply with Regulation 31-103.
2. New registrants looking to operate as investment dealers, fund managers, or portfolio managers also need this regulation.
3. Financial stakeholders involved with securities and derivatives markets in Canada are required to adhere to these regulations.

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What is regulation 31-103?

Regulation 31-103 is a Canadian securities regulation that outlines the registration requirements for individuals and firms engaged in trading and advising in securities.

Who is required to file regulation 31-103?

Individuals and firms that are registered as dealers or advisers under Canadian securities laws must file regulation 31-103.

How to fill out regulation 31-103?

To fill out regulation 31-103, registrants must complete the required forms, provide accurate information related to their business operations, and submit the forms through the appropriate regulatory authority.

What is the purpose of regulation 31-103?

The purpose of regulation 31-103 is to protect investors by ensuring that individuals and firms offering investment services meet certain standards and comply with regulatory requirements.

What information must be reported on regulation 31-103?

Regulation 31-103 requires reporting of information such as the registrant's business structure, financial information, details of directors and officers, and any regulatory history.