Overview of the registration process (Session A: Webinar)

This seminar will provide an overview of the registration process, including the use of the National Registration Database (NRD). We will also describe the various registration forms required under National Instrument 33-109 Registration Information and common issues that have been noted in their completion. There will also be a discussion of current issues that may impact a firm’s registration application and the implications of late or deficient registration filings.

Who should attend:

Individuals responsible for the initial and ongoing maintenance of registration filings for the firm and its registered and permitted individuals.

Benefits:

• Understand the registration process and the role of the NRD system
• Gain an awareness of registration-related issues

Presentation materials:

Slides: Overview of the Registration Process