When Do Start-Ups Have to Register as a Dealer in Canada – Proposed Amendments to NI 31-103

This article examines proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) that provides additional guidance to clarify when, and if, a start-up or early stage issuer including, a technology or mining issuer, has to register as a dealer under NI 31-103. A start-up or early stage issuer that […]