The National Registration Database (NRD) is a web-based system that permits dealers and advisers to file registration forms electronically. The CSA and CIRO designed it, in consultation with industry representatives,...
...National Registration Database In effect in all CSA members: Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Prince Edward Island, Québec, Saskatchewan, Yukon...
...registration of any individual or firm offering an investment opportunity.” The CSA has provided investors with a tool, the National Registration Search, that is quick and easy to use. Registration...
Vancouver – The Canadian Securities Administrators (CSA) today published for comment Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration (collectively, the Proposed Instrument). The Proposed Instrument establishes...
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...
...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,...
...key components of the new regime, which came into force on September 28, 2009, include National Instrument 31-103 Registration Requirements and Exemptions and amendments to National Instrument 33-109 Registration Information....
...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...
