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 […]
When Do Start-Ups Have to Register as a Dealer in Canada – Proposed Amendments to NI 31-103
December 29, 2013 by 1 Comment
OBSI – Mandatory ADR for All Canadian Securities Registrants – Coming May 1, 2014
December 26, 2013 by 1 Comment
Effective May 1, 2014 (the Effective Date), the Canadian Securities Administrators (the CSA) has announced that the Ombudsman for Banking Services and Investments (OBSI) will become the independent and common dispute resolution and mediation service provider that will be required to be used by all registered firms under NI 31-103[1] in all jurisdictions in Canada, […]
Raising the Bar for CCOs of Securities Registrants in Canada – Proposed Amendments to NI 31-103
December 14, 2013 by Leave a Comment
The Canadian Securities Administrators (CSA) has recently proposed various amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) that include, a proposal to add an experience component to the proficiency requirement to be a chief compliance officer (CCO) of not only an exempt market dealer (EMD) but also for a […]
Is Your Dealer or Advisor Registered with a Canadian Securities Regulator? Better Check!
December 4, 2013 by Leave a Comment
Many people often ask how they can check whether an individual or firm is registered as a dealer and/or advisor in different jurisdictions in Canada. The simple answer is you can easily do this by checking the website of the Ontario Securities Commission (the OSC) for Ontario registrants and the website of the Canadian Securities […]
