National Registration Regime Implemented: Canadian Securities Regulators Announce New Registration Rules and Streamlined Process for Dealers and Advisers

...which comes into force with NI 31-103, creates a streamlined process for dealer and adviser registration in multiple jurisdictions, replacing the current National Registration System. The new national registration regime...

Canadian Securities Regulators Implement a New National Registration Regime(2)

...Registration Requirements and Exemptions Backgrounder Registration Reform Project · The new national instrument is the centrepiece of the “Registration Reform Project”. This is largest project ever undertaken by the Canadian...

Canadian Securities Regulators Seek Comment on Proposed Changes to Registration Rules for Dealers, Advisers and Investment Fund Managers

...manage investment funds. The regulatory framework for registrants is contained in National Instrument (NI) 31-103 Registration Requirements and Exemptions and related instruments (the National Registration Rules). The National Registration Rules...

Registration Information

...to register in more than one province or territory by dealing only with the “principal regulator”. National Registration Database The National Registration Database (NRD) is a web-based system that permits...

Canadian Securities Regulators Finalize Passport for Registrants and a Streamlined Review Policy for Registration in Multiple Jurisdictions

...not a passport jurisdiction. The new policy, National Policy 11-204 Process for Registration in Multiple Jurisdictions, will replace and streamline the current National Registration System (NRS) and establish the process...

Canadian securities regulators advise of unauthorized access to National Registration Database

Montreal – The Canadian Securities Administrators (CSA) is advising of recent unauthorized access to the CSA’s National Registration Database, the web-based system that registrants use to file registration information with...

National Registration Database – Updated external guide for dual registered firms

...Registration Database. This guide replaces the first guide sent to you on December 8, 2022, which is now withdrawn. If you have any questions or are interested in applying for...

Crypto Trading Platforms That Have Filed Pre-Registration Undertakings

...interim period the PRUs may be revised pending registration. In addition, the terms and conditions of registration or exemptive relief related to registration may be different from the terms of...

National Registration Database – Updated external guide for dual registered firms

...Registration Database. This guide replaces the first guide sent to you on December 8, 2022, which is now withdrawn. If you have any questions or are interested in applying for...

Canadian securities regulators modernize registration information requirements, clarify outside activity reporting and update filing deadlines

...to report on or after the June 6, 2022 effective date or (ii) June 6, 2023. The final amendments include guidance relating to updating registration information. “The submission of registration...