...follow these three easy steps: 1. Check registration and any disciplinary information of the person or company selling or advising about securities. The CSA National Registration Search (NRS) is a simple,...
...the CSA recommends that investors follow these four easy steps: Check registration of the person or company selling or advising about securities. The CSA National Registration Search is a simple and free...
When filing a submission that requires you to identify registration and/or approval categories for an individual (e.g. initial registration), please take care to ensure that you have selected the appropriate...
...an adviser’s registration are “I don’t know how to check an adviser’s registration” and that “I don’t need to check an adviser’s registration if they work for a major financial...
...the first pre-registration undertakings, filed by Coinsquare Capital Markets Ltd. and Crypto.com. CSA members are in discussions with other crypto trading platforms about providing pre-registration undertakings. Once provided, these undertakings...
...publication of CSA Staff Notice 21-332. Pre-registration undertakings that have been reviewed are available on the CSA’s website. Pre-registration undertakings for other crypto asset trading platforms remain under review. The...
...a notice of termination or surrender of registration for such individuals, you must do so within the deadlines under National Instrument 33-109. Annual fee exclusions filed for individuals who decide...
...or ‘Reinstatement of Registration (NI 33-109F7)’ submissions pending on December 31, 2023 are subject to annual regulatory and system fees Individuals who file Reinstatement of Registration (NI 33-109F7) or Registration...
...Registration Database (NRD) (collectively, the “CSA National Systems”) later this year. The implementation date for the cutover of all SEDAR, SEDI and NRD related services from the previous service provider...
...other available sources, such as the System for Electronic Document Analysis and Retrieval (SEDAR) and the National Registration Database (NRD). The new report also includes carve-outs from a number of...
