...their operations into compliance, CTPs should contact their local securities regulator now to discuss the registration process and address applicable requirements.” “We are pleased to work with the CSA on...
...Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, is proposing changes that would require registrants to: address conflicts of interest in the best interest of the...
...in Canada. The CSA also adopted consequential amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and consequential changes to National Policy 11-206 Process for Cease...
...education and outreach initiatives. The CSA is also launching two national CSA digital educational campaigns for Investor Education month. The first encourages Canadians to use the mobile-friendly National Registration Search...
...of manager or change of control of manager, given similar requirements in the registration system for investment fund managers. Furthermore, the proposed changes would broaden the pre-approval criteria for investment...
...a new online guide called Safe Investing for Seniors: Recognizing fraud and financial elder abuse. The website also has content for seniors on investing for retirement, investment fees, registration and...
Toronto – The Canadian Securities Administrators (CSA) today published final amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations. These amendments would require all registered dealers and...
...exemption) contained in National Instrument 45-106 Prospectus and Registration Exemptions. “The CSA is undertaking this consultation with a view to ensuring that both of these exemptions continue to meet the...
...amendments will come into force at the same time as the Client Focused Reforms relating to enhanced “Know Your Client” (KYC) requirements. The proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions...
...Comment announcing proposed NI 51-103, proposed amendments to National Instrument 41-101 General Prospectus Requirements, National Instrument 44-101 Short Form Prospectus Distributions, and National Instrument 45-106 Prospectus and Registration Exemptions, and...
