...several items of which registrants should be aware, including proposed changes to the National Registration Database (NRD), the conversion by firms and individuals to new categories of registration and the...
ByteX Financial Ltd. et al operating as ByteX Crypto Asset Trading Platform Pre-Registration Undertaking (March 24, 2023) CatalX CTS Ltd. operating as CatalX Crypto Asset Trading Platform Pre-Registration Undertaking (March...
...provincial regulator’s website. Registration information from the Ontario Securities Commission (OSC) is not currently included in NRS. The registration section on the CSA website links to the OSC’s Check Registration...
...manage investment funds. The regulatory framework for registrants is contained in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and related instruments (collectively, the National Registration...
...that certain registration information they provide can be disproportionately burdensome, and that other registration information requirements could be clearer,” said Louis Morisset, CSA Chair and President and CEO of the...
...The use of the NRD system has been mandated by Multilateral Instrument 31-102 National Registration Database. This rule requires that certain registration information and registration fees be submitted using NRD....
The legacy CTO Database used the CUSIP number as a security identifier. These numbers are assigned to securities trading in Canada and the United States. In SEDAR+, CUSIP numbers may...
...to meet disclosure requirements or as a result of an enforcement action that involves an investigation of potential wrongdoing. The purpose of the National CTO Database (CTO Database) is twofold:...
...to meet disclosure requirements or as a result of an enforcement action that involves an investigation of potential wrongdoing. The purpose of the National CTO Database (CTO Database) is twofold:...
...submitting false or misleading applications for registration. Each year, CSA staff receive many applications for registration that omit relevant information or contain information that is vague or untrue. “The CSA...
