Finders and Referral Agents Beware! Proposed Changes for Unregistered Individuals in Canada

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By Brian Koscak and Peter Dunne The Canadian Securities Administrators (the CSA) have proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Obligations (NI 31-103) that seek, among other things, to clarify the use of the “trade through or to a registered dealer” exemption in section 8.5(a) of NI 31-103 (section 8.5(a)). The […]