Unofficial Consolidation: Form 33-109F4 Registration of Individuals and Review of Permitted Individuals (Section 2.2)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-109F5 Change of Registration Information (Sections 3.1 And 4.1)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-109F6 Firm Registration
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individuals (Sections 2.3 And 2.5(2))
Documents d'Instruments, règles et politiques
Unofficial Consolidation: OSC Rule 33-506 (Commodity Futures Act) Registration Information
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Companion Policy 33-506CP (Commodity Futures Act) Registration Information
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F1 Notice of Termination of Registered Individuals and Permitted Individuals (Section 4.2)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F2 Change or Surrender of Individual Categories (Section 2.2(2), 2.5(2) Or 4.1(5))
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F3 Business Locations other than Head Office (Section 3.2)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F4 Registration of Individuals and Review of Permitted Individuals (Section 2.2)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F5 Change Of Registration Information (Sections 3.1 And 4.1)
Documents d'Instruments, règles et politiques
Unofficial Consolidation: Form 33-506F6 Firm Registration
Documents d'Instruments, règles et politiques
CFA Registration Information Amendments - Dec 16, 2021 - Appendix D
Documents d'Instruments, règles et politiques
CFA Registration Information Amendments - Dec 16, 2021 - Appendix E
Documents d'Instruments, règles et politiques
Notice of General Order – Transitional Relief Related to the Deferred Sales Charge Option in Respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements,
Documents d'Instruments, règles et politiques
Ontario Instrument 31-514 – Transitional Relief Related to the Elimination of the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103
Documents d'Instruments, règles et politiques
CSA Notice 31-360 Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument
Documents d'Instruments, règles et politiques
Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
Amendments to Companion Policy 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Documents d'Instruments, règles et politiques
CSA Notice of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Client
Documents d'Instruments, règles et politiques
