8.4 Person or company not in the business of trading in British Columbia, Manitoba and New Brunswick 8.12 Mortgages 0 3.7 Scholarship plan dealer – dealing representative Notice of Ministerial Approval of Amendments to OSC Rule 72-503 Distributions Outside Canada, National Instrument 45-102 Resale of Securities, and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations: June 7, 2018 This Notice contains the following annexes: Please refer your questions to any of the following CSA staff: The Custody Amendments will be implemented as: • a rule in each of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Prince Edward Island and Yukon, • a commission regulation in Saskatchewan.

This website works best with JavaScript enabled.



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National Instrument 31-103 Registration Requirements, ... British Columbia Securities Commission Tel: 604-899-6678 1-800-373-6393 lbremner@bcsc.bc.ca Veronica Armstrong Senior Legal Counsel Capital Markets Regulation British Columbia Securities Commission Tel: 604-899-6839 1-800-373-6393 varmstrong@bcsc.bc.ca -5- #4959405 v1 Navdeep Gill Manager, Registration Alberta Securities Commission …

The Minister may approve or reject the Custody Amendments or return them for further consideration. Appendix D – New Category Names – Firms

About Numbering System The amendments are to section 14.6.1 [custodial provisions relating to certain margin or security interests] of NI 31-103.

11.3 Designating a chief compliance officer 8.15 Schedule III banks and cooperative associations – evidence of deposit Temporary Exemption from Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Blanket Order] 31-535 8.8 Additional investment in investment funds 10.4 Activities not permitted while a firm’s registration is suspendedDivision 2 Revoking a firm’s registration10.5 Revocation of a suspended registration – firm

3.9 Exempt market dealer – dealing representative In Québec, the Custody Amendments are adopted as a regulation made under section 331.1 of the Securities Act (Québec) and must be approved, with or without amendment, by the Minister of Finance. 699 0 obj <>/Encrypt 684 0 R/Filter/FlateDecode/ID[<88AF0E5BF4294F46BBC486C07572DAD9>]/Index[683 29]/Info 682 0 R/Length 80/Prev 1130770/Root 685 0 R/Size 712/Type/XRef/W[1 2 1]>>stream

8.16 Plan administrator 1.2 Interpretation of “securities” in Alberta, British Columbia, New Brunswick and Saskatchewan 12.2 Notifying the regulator of a subordination agreementDivision 2 Insurance12.3 Insurance – dealer 1. h��V]L[e�����@�)������"�fnJ��ln~V��`V�Ūk����:�bT�#CMh�9��ɤE\f��:o�Y2�Hp���~�wN{*^靧=o���������9 @¯dA�+`�r���Q0S��8�NVO�����p�����Z��ĹD�S]>�h|����ω�y]�b�rK��.����X&�х�Κ��zUQoM�WF7����O縸��ޱ��թ�ƙ��yW����`�1�L�%��iAQ���ap�2��Y�uѣAw7���Mp=� O�Z�wl��_�סv��S�7� �yWɽ�oT�SG�~4�-�ty�o�����].g�̚i�xg^�0n���|���*�CЇ���X������-�uz8�p�ь̛�u������f|ׂ���1@E�vk��f���{��E�Q��������G�OѨ_���C� Dealers, Advisers and Investment Fund Managers, 3 - Registration Requirements and Related Matters, CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Custody-Related Amendments. We, the Canadian Securities Administrators (the CSA), are adopting amendments (the Custody Amendments) to certain custody-related provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103). As this change is not material, we are not publishing the Custody Amendments for another comment period.

h�bbd``b`.�׀�*�`�����`�"���X��",@�0B�H,�g`bd����H����7� �8

This Companion Policy sets out how the Canadian Securities Administrators (the CSA or we) interpret or apply the provisions of National Instrument 31-103 Registration Requirements and Exemptions(NI 31-103) and related securities legislation.

disbursements properly incurred in connection with the provision of legal services to the commission 29 to 31: Repealed. 7.2 Adviser categories 683 0 obj <> endobj









258/2018, s. 2 (g).]
Appendix A – Bonding and Insurance Clauses National Instrument 31-103 Registration Requirements and Exemptions Supplement to the OSC Bulletin July 17, 2009 197 (2009) 32 OSCB (Supp-2) Business operations

Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service 8.6 Investment fund trades by adviser to managed account investors (English and Chinese version) 卑斯證監會指控一女仕欺詐三名卑斯省投資者三百萬元, Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers, Champignon Brands Inc. [Cease Trade Order], VIPR Corp. (formerly Viper Corp., which was formerly S2C Global Systems, Inc.) [Variation of Cease Trade Order], © 2020 British Columbia Securities Commission, Inquiries: 604-899-6854 or 1-800-373-6393, Understanding Your BCSC Compliance Examination, Marketplaces, SROs & Market Infrastructure, 3 - Registration Requirements & Related Matters, 5 - Ongoing Requirements for Issuers & Insiders, 7 - Securities Transactions Outside the Jurisdiction, Historical Blanket Orders and Rulings (BOR), Historical Notices and Interpretation Notes (NIN), Research, Track & File Exemption Applications, Requirements for Local Exemption Application, Exemptive Relief and Exemption Application Process FAQs, 44-101 - Short Form Prospectus Distributions [NI]. If all necessary approvals are obtained, the Custody Amendments will come into force on June 12, 2019 or, if after June 12, 2019, on the day on which they are filed with the Registrar of Regulations. We published proposed amendments for comment on October 25, 2018 (the October 2018 Proposal). 3.3 Time limits on examination requirementsDivision 2 Education and experience requirements3.4 Proficiency – initial and ongoing

National Instrument 31-103 Registration Requirements and Exemptions Supplement to the OSC Bulletin July 17, 2009 196 (2009) 32 OSCB (Supp-2) NATIONAL INSTRUMENT 31-103 REGISTRATION REQUIREMENTS AND EXEMPTIONS Table of Contents Individual registration Firm registration Part 1 Interpretation 1.1 Definitions of terms used throughout this Instrument 1.2 Interpretation of “securities… investors (English and Chinese version) 卑斯證監會指控一女仕欺詐三名卑斯省投資者三百萬元, Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers, Champignon Brands Inc. [Cease Trade Order], VIPR Corp. (formerly Viper Corp., which was formerly S2C Global Systems, Inc.) [Variation of Cease Trade Order], © 2020 British Columbia Securities Commission, 31-103 Appendix B - Subordination Agreement, Jan 2012, 31-103 [NI] Consolidated version, Feb 28, 2012, Inquiries: 604-899-6854 or 1-800-373-6393, Understanding Your BCSC Compliance Examination, Marketplaces, SROs & Market Infrastructure, 3 - Registration Requirements & Related Matters, 5 - Ongoing Requirements for Issuers & Insiders, 7 - Securities Transactions Outside the Jurisdiction, Historical Blanket Orders and Rulings (BOR), Historical Notices and Interpretation Notes (NIN), Research, Track & File Exemption Applications, Requirements for Local Exemption Application, Exemptive Relief and Exemption Application Process FAQs, BCN 2012/04 - Notice of Adoption of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and its companion policy [BCN], 31-103CP - Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded].

In Ontario, the Custody Amendments, as well as other required materials, were delivered to the Minister of Finance on March 7, 2019.

711 0 obj <>stream (2) In Saskatchewan, despite subsection (1), if this Instrument is filed with the Registrar of Regulations after June 12, 2019, this Instrument comes into force on the day on which it is filed with the Registrar of Regulations.

1990, c. C.20) bDD!jy>*����Dl�@�w��w����xg=�}2��x��;�94�4���/_[�/�Ynj��c��z&�~���M_����dž'�q]� ��mٶ@����m��ߋ70B`A60f��J�m)e�]*1l"l�wm+���XN� �*�T�:j����5�^ۜ�ղ���+a�F�i�N'��uɾ%[4m��/7���k� ����C����^��j�����\ߢ��f��s�鄬�-�/_�#��Ӿ� �����Iϐ�� @=J#�$�/��D�x"$��N��%��j�[�-��@���@�풟±�'�j������b��Y�D��)�� � �",zf �X��niE\7�b�Ð�4� ����a�D�U�@�Q���&���t��1��~(&�Y0̼��UG� ^��
NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Canadian Securities Administrators G20 Group of 20 Major Economies IIROC Investment Industry Regulatory Organization of Canada MAP Market Analysis Platform, a data system to monitor trading abuse NI National Instrument NOH Notice of Hearing OSC Ontario Securities Commission TAP Taxpayer … endstream endobj startxref

Legislation |

In some jurisdictions, ministerial approvals are required for the implementation of the Custody Amendments. 3.5 Mutual fund dealer – dealing representative JavaScript is disabled or not supported by this browser. The substance and purpose of the Custody Amendments is to continue to align the permissible custodial practices in section 14.6.1 of NI 31-103 with the similar permitted custodial practices for investment funds in subsection 6.8(2) of National Instrument 81-102 Investment Funds (NI 81-102).

0
Discovery Museum, Elizabeth Hurley Partner 2020, Air And Space Law Jobs, Gifted And Talented Programs, The Critical Drinker Real Name, 4k Ultra Hd Tv Box S912, Paramount Drive-in Theatres, Paragon Department Store Tel, An Actor Prepares Quotes, Greedfall Endings, Federal Judicial Retirement, Vinveli Katturai In Tamil, Fetih 1453 Netflix, James Corden Duets, Awesomenauts Tier List 2020, Dreamland 2020 Festival, Aviall Dallas, Croatia Facts, Red Knee Tarantula Facts, Magrunner Dark Pulse System Requirements, Maitland Weather Sa, Canadian Space Agency Astronaut Salary, Dervla Kirwan Rupert Penry-jones, Bindery Jobs Near Me, Dilong Meaning, Mawalan Ng Pag Asa In English, Iss Notification, Food And Drug Act, The Promise Thai Plot, Shoot On Sight Law, Dj Scheme Height, Akari Pharma, Operation Pet Scan Amazon, Reject Shop Lilydale, New England Doppler Radar, Watch Dogs: Legion Delayed 2020, How To Make Curd From Milk Using Lemon, Frances Conroy Manhattan, On Earth We're Briefly Gorgeous Paperback, Nativity Play Script, Disaster: Day Of Crisis Us, Dababy Blame It On Baby Vinyl, Bed Rest Study Application 2020, Cora Tannetti Mother, Large Binocular Telescope Diameter, Heist Series On Netflix, Homeschooling In Arizona, Highlight Calling You Lyrics, Coalville Grill Discount Code, Fox Fantasy Nascar Picks, Twilight Princess Hd Switch, Acupuncture Points, Companies In Zurich, Watch Westworld Season 1 Episode 4, Whichever Synonym 3 Letters, The Legend Of Tarzan Clayton, Beyond The Walls Church, Impatience Or Impatient, 26 Thames Drive, Livingston, Nj, List Of Federal Judges, Who Played The Lion In The Wiz, Yu-gi-oh Worldwide Edition Stairway To The Destined Duel Walkthrough, Sixt Car Rental, Horror Movie Wallpapers 4k, Stephen Lecce Live Stream, Best Poetry Books 2019, Mouthpiece Boxing, Moorish Language, Sermons On Trust In Relationships, Watch Dogs 2 Mods Xbox One, The Expendables 3 Trailer, William Lee Scott Instagram, Heritage Canada Grants, Bacteria Shapes And Names, Shahid Afridi Stats, When Did The First Stars Form, Watch Dogs 2 Gold Edition Content, Meisner Technique Vs Method Acting, Mega Man Maverick Hunter X Boss Order, Kmart Annual Report, Md5 Algorithm Pseudocode, Bifidobacterium Dentium Gram Stain, Reed Usa, Star Wars Demolition Characters, Nana Meaning Grandmother, Brian Masters Wife, Where Can I Watch Parey Hut Love Online, Moon And Stars Images Black And White, Witcher 3 Mods Steam, Easiyo Container Nz, What Does Neowise Stand For, Wiltshire Gym, Audi Q2 Review, Thoroughbreds (dvd), Curiosity Rover Purpose, Honour Tv Series, Charles Pope Belgravia, "/>
8.4 Person or company not in the business of trading in British Columbia, Manitoba and New Brunswick 8.12 Mortgages 0 3.7 Scholarship plan dealer – dealing representative Notice of Ministerial Approval of Amendments to OSC Rule 72-503 Distributions Outside Canada, National Instrument 45-102 Resale of Securities, and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations: June 7, 2018 This Notice contains the following annexes: Please refer your questions to any of the following CSA staff: The Custody Amendments will be implemented as: • a rule in each of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Prince Edward Island and Yukon, • a commission regulation in Saskatchewan.

This website works best with JavaScript enabled.



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National Instrument 31-103 Registration Requirements, ... British Columbia Securities Commission Tel: 604-899-6678 1-800-373-6393 lbremner@bcsc.bc.ca Veronica Armstrong Senior Legal Counsel Capital Markets Regulation British Columbia Securities Commission Tel: 604-899-6839 1-800-373-6393 varmstrong@bcsc.bc.ca -5- #4959405 v1 Navdeep Gill Manager, Registration Alberta Securities Commission …

The Minister may approve or reject the Custody Amendments or return them for further consideration. Appendix D – New Category Names – Firms

About Numbering System The amendments are to section 14.6.1 [custodial provisions relating to certain margin or security interests] of NI 31-103.

11.3 Designating a chief compliance officer 8.15 Schedule III banks and cooperative associations – evidence of deposit Temporary Exemption from Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Blanket Order] 31-535 8.8 Additional investment in investment funds 10.4 Activities not permitted while a firm’s registration is suspendedDivision 2 Revoking a firm’s registration10.5 Revocation of a suspended registration – firm

3.9 Exempt market dealer – dealing representative In Québec, the Custody Amendments are adopted as a regulation made under section 331.1 of the Securities Act (Québec) and must be approved, with or without amendment, by the Minister of Finance. 699 0 obj <>/Encrypt 684 0 R/Filter/FlateDecode/ID[<88AF0E5BF4294F46BBC486C07572DAD9>]/Index[683 29]/Info 682 0 R/Length 80/Prev 1130770/Root 685 0 R/Size 712/Type/XRef/W[1 2 1]>>stream

8.16 Plan administrator 1.2 Interpretation of “securities” in Alberta, British Columbia, New Brunswick and Saskatchewan 12.2 Notifying the regulator of a subordination agreementDivision 2 Insurance12.3 Insurance – dealer 1. h��V]L[e�����@�)������"�fnJ��ln~V��`V�Ūk����:�bT�#CMh�9��ɤE\f��:o�Y2�Hp���~�wN{*^靧=o���������9 @¯dA�+`�r���Q0S��8�NVO�����p�����Z��ĹD�S]>�h|����ω�y]�b�rK��.����X&�х�Κ��zUQoM�WF7����O縸��ޱ��թ�ƙ��yW����`�1�L�%��iAQ���ap�2��Y�uѣAw7���Mp=� O�Z�wl��_�סv��S�7� �yWɽ�oT�SG�~4�-�ty�o�����].g�̚i�xg^�0n���|���*�CЇ���X������-�uz8�p�ь̛�u������f|ׂ���1@E�vk��f���{��E�Q��������G�OѨ_���C� Dealers, Advisers and Investment Fund Managers, 3 - Registration Requirements and Related Matters, CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Custody-Related Amendments. We, the Canadian Securities Administrators (the CSA), are adopting amendments (the Custody Amendments) to certain custody-related provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103). As this change is not material, we are not publishing the Custody Amendments for another comment period.

h�bbd``b`.�׀�*�`�����`�"���X��",@�0B�H,�g`bd����H����7� �8

This Companion Policy sets out how the Canadian Securities Administrators (the CSA or we) interpret or apply the provisions of National Instrument 31-103 Registration Requirements and Exemptions(NI 31-103) and related securities legislation.

disbursements properly incurred in connection with the provision of legal services to the commission 29 to 31: Repealed. 7.2 Adviser categories 683 0 obj <> endobj









258/2018, s. 2 (g).]
Appendix A – Bonding and Insurance Clauses National Instrument 31-103 Registration Requirements and Exemptions Supplement to the OSC Bulletin July 17, 2009 197 (2009) 32 OSCB (Supp-2) Business operations

Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service 8.6 Investment fund trades by adviser to managed account investors (English and Chinese version) 卑斯證監會指控一女仕欺詐三名卑斯省投資者三百萬元, Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers, Champignon Brands Inc. [Cease Trade Order], VIPR Corp. (formerly Viper Corp., which was formerly S2C Global Systems, Inc.) [Variation of Cease Trade Order], © 2020 British Columbia Securities Commission, Inquiries: 604-899-6854 or 1-800-373-6393, Understanding Your BCSC Compliance Examination, Marketplaces, SROs & Market Infrastructure, 3 - Registration Requirements & Related Matters, 5 - Ongoing Requirements for Issuers & Insiders, 7 - Securities Transactions Outside the Jurisdiction, Historical Blanket Orders and Rulings (BOR), Historical Notices and Interpretation Notes (NIN), Research, Track & File Exemption Applications, Requirements for Local Exemption Application, Exemptive Relief and Exemption Application Process FAQs, 44-101 - Short Form Prospectus Distributions [NI]. If all necessary approvals are obtained, the Custody Amendments will come into force on June 12, 2019 or, if after June 12, 2019, on the day on which they are filed with the Registrar of Regulations. We published proposed amendments for comment on October 25, 2018 (the October 2018 Proposal). 3.3 Time limits on examination requirementsDivision 2 Education and experience requirements3.4 Proficiency – initial and ongoing

National Instrument 31-103 Registration Requirements and Exemptions Supplement to the OSC Bulletin July 17, 2009 196 (2009) 32 OSCB (Supp-2) NATIONAL INSTRUMENT 31-103 REGISTRATION REQUIREMENTS AND EXEMPTIONS Table of Contents Individual registration Firm registration Part 1 Interpretation 1.1 Definitions of terms used throughout this Instrument 1.2 Interpretation of “securities… investors (English and Chinese version) 卑斯證監會指控一女仕欺詐三名卑斯省投資者三百萬元, Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers, Champignon Brands Inc. [Cease Trade Order], VIPR Corp. (formerly Viper Corp., which was formerly S2C Global Systems, Inc.) [Variation of Cease Trade Order], © 2020 British Columbia Securities Commission, 31-103 Appendix B - Subordination Agreement, Jan 2012, 31-103 [NI] Consolidated version, Feb 28, 2012, Inquiries: 604-899-6854 or 1-800-373-6393, Understanding Your BCSC Compliance Examination, Marketplaces, SROs & Market Infrastructure, 3 - Registration Requirements & Related Matters, 5 - Ongoing Requirements for Issuers & Insiders, 7 - Securities Transactions Outside the Jurisdiction, Historical Blanket Orders and Rulings (BOR), Historical Notices and Interpretation Notes (NIN), Research, Track & File Exemption Applications, Requirements for Local Exemption Application, Exemptive Relief and Exemption Application Process FAQs, BCN 2012/04 - Notice of Adoption of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and its companion policy [BCN], 31-103CP - Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded].

In Ontario, the Custody Amendments, as well as other required materials, were delivered to the Minister of Finance on March 7, 2019.

711 0 obj <>stream (2) In Saskatchewan, despite subsection (1), if this Instrument is filed with the Registrar of Regulations after June 12, 2019, this Instrument comes into force on the day on which it is filed with the Registrar of Regulations.

1990, c. C.20) bDD!jy>*����Dl�@�w��w����xg=�}2��x��;�94�4���/_[�/�Ynj��c��z&�~���M_����dž'�q]� ��mٶ@����m��ߋ70B`A60f��J�m)e�]*1l"l�wm+���XN� �*�T�:j����5�^ۜ�ղ���+a�F�i�N'��uɾ%[4m��/7���k� ����C����^��j�����\ߢ��f��s�鄬�-�/_�#��Ӿ� �����Iϐ�� @=J#�$�/��D�x"$��N��%��j�[�-��@���@�풟±�'�j������b��Y�D��)�� � �",zf �X��niE\7�b�Ð�4� ����a�D�U�@�Q���&���t��1��~(&�Y0̼��UG� ^��
NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Canadian Securities Administrators G20 Group of 20 Major Economies IIROC Investment Industry Regulatory Organization of Canada MAP Market Analysis Platform, a data system to monitor trading abuse NI National Instrument NOH Notice of Hearing OSC Ontario Securities Commission TAP Taxpayer … endstream endobj startxref

Legislation |

In some jurisdictions, ministerial approvals are required for the implementation of the Custody Amendments. 3.5 Mutual fund dealer – dealing representative JavaScript is disabled or not supported by this browser. The substance and purpose of the Custody Amendments is to continue to align the permissible custodial practices in section 14.6.1 of NI 31-103 with the similar permitted custodial practices for investment funds in subsection 6.8(2) of National Instrument 81-102 Investment Funds (NI 81-102).

0
Discovery Museum, Elizabeth Hurley Partner 2020, Air And Space Law Jobs, Gifted And Talented Programs, The Critical Drinker Real Name, 4k Ultra Hd Tv Box S912, Paramount Drive-in Theatres, Paragon Department Store Tel, An Actor Prepares Quotes, Greedfall Endings, Federal Judicial Retirement, Vinveli Katturai In Tamil, Fetih 1453 Netflix, James Corden Duets, Awesomenauts Tier List 2020, Dreamland 2020 Festival, Aviall Dallas, Croatia Facts, Red Knee Tarantula Facts, Magrunner Dark Pulse System Requirements, Maitland Weather Sa, Canadian Space Agency Astronaut Salary, Dervla Kirwan Rupert Penry-jones, Bindery Jobs Near Me, Dilong Meaning, Mawalan Ng Pag Asa In English, Iss Notification, Food And Drug Act, The Promise Thai Plot, Shoot On Sight Law, Dj Scheme Height, Akari Pharma, Operation Pet Scan Amazon, Reject Shop Lilydale, New England Doppler Radar, Watch Dogs: Legion Delayed 2020, How To Make Curd From Milk Using Lemon, Frances Conroy Manhattan, On Earth We're Briefly Gorgeous Paperback, Nativity Play Script, Disaster: Day Of Crisis Us, Dababy Blame It On Baby Vinyl, Bed Rest Study Application 2020, Cora Tannetti Mother, Large Binocular Telescope Diameter, Heist Series On Netflix, Homeschooling In Arizona, Highlight Calling You Lyrics, Coalville Grill Discount Code, Fox Fantasy Nascar Picks, Twilight Princess Hd Switch, Acupuncture Points, Companies In Zurich, Watch Westworld Season 1 Episode 4, Whichever Synonym 3 Letters, The Legend Of Tarzan Clayton, Beyond The Walls Church, Impatience Or Impatient, 26 Thames Drive, Livingston, Nj, List Of Federal Judges, Who Played The Lion In The Wiz, Yu-gi-oh Worldwide Edition Stairway To The Destined Duel Walkthrough, Sixt Car Rental, Horror Movie Wallpapers 4k, Stephen Lecce Live Stream, Best Poetry Books 2019, Mouthpiece Boxing, Moorish Language, Sermons On Trust In Relationships, Watch Dogs 2 Mods Xbox One, The Expendables 3 Trailer, William Lee Scott Instagram, Heritage Canada Grants, Bacteria Shapes And Names, Shahid Afridi Stats, When Did The First Stars Form, Watch Dogs 2 Gold Edition Content, Meisner Technique Vs Method Acting, Mega Man Maverick Hunter X Boss Order, Kmart Annual Report, Md5 Algorithm Pseudocode, Bifidobacterium Dentium Gram Stain, Reed Usa, Star Wars Demolition Characters, Nana Meaning Grandmother, Brian Masters Wife, Where Can I Watch Parey Hut Love Online, Moon And Stars Images Black And White, Witcher 3 Mods Steam, Easiyo Container Nz, What Does Neowise Stand For, Wiltshire Gym, Audi Q2 Review, Thoroughbreds (dvd), Curiosity Rover Purpose, Honour Tv Series, Charles Pope Belgravia, "/>

31 103 bc securities commission

0
By Uncategorized October 27, 2020




%PDF-1.6 %���� Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers September 17, 2020 - News Releases Canadian securities regulators propose changes to the offering memorandum prospectus exemption 6.4 If sponsoring firm is suspended Amendments to NI 31-103 (arising from Derivatives related amendments to the Securities Act) Effective - Amendments to Instrument - 10/31/2014 Amendments to Instrument Reg. 8.3 Interpretation – exemption from underwriter registration requirement

12.12 Delivering financial information – dealer 8.26 International adviserDivision 3 Exemptions from investment fund manager registration8.27 Private investment club 8.18 International dealer

2. 365 0 obj <> endobj

31-103: Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients [CSA Notice and Request for Comment]

2.2 Client mobility exemption – individuals

qE�R ؗ���v,'����+��aZ�En�� �(�&L>#;�,���u'9��ᣦɕ�h(nUcÑz�M�h���z>:�F@��L�J��2���^��,t��V����e?LBb�MҘu�]���XݹC��ƣ��f|���u�.�� �ݻ> #w|���zҵ��A��䰼{lP�T7����q�2�@N&��� �NK� 8o�. 3.11 Portfolio manager – advising representative

We received no comment letters on the October 2018 Proposal.

Appendix E – Non-Harmonized Capital Requirements



We added the definitions of the following terms to subsection 14.6.1(1) of NI 31-103: We amended subsection 14.6.1(2) to permit clients or investment funds of a registered firm to deposit cash or securities with certain members of regulated clearing agencies as margin for certain transactions outside of Canada.

3.13 Portfolio manager – chief compliance officer Amendments to NI 31-103 (arising from Derivatives related amendments to the Securities Act) Effective - Amendments to Instrument - 10/31/2014 Amendments to Instrument 8.5 Trades through or to a registered dealer

12.4 Insurance – adviser 3.6 Mutual fund dealer – chief compliance officer

We made a change to correctly reference the definition of "regulated clearing agency", but no other changes have been made to the proposed amendments.

8.4 Person or company not in the business of trading in British Columbia, Manitoba and New Brunswick 8.12 Mortgages 0 3.7 Scholarship plan dealer – dealing representative Notice of Ministerial Approval of Amendments to OSC Rule 72-503 Distributions Outside Canada, National Instrument 45-102 Resale of Securities, and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations: June 7, 2018 This Notice contains the following annexes: Please refer your questions to any of the following CSA staff: The Custody Amendments will be implemented as: • a rule in each of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Prince Edward Island and Yukon, • a commission regulation in Saskatchewan.

This website works best with JavaScript enabled.



388 0 obj <>/Filter/FlateDecode/ID[<5CB8CDC94C8D0D3B6A64A043413AC4EC><6ABEEA525AE5A24FB2408ED0FB37B85A>]/Index[365 44]/Info 364 0 R/Length 107/Prev 930846/Root 366 0 R/Size 409/Type/XRef/W[1 3 1]>>stream

National Instrument 31-103 Registration Requirements, ... British Columbia Securities Commission Tel: 604-899-6678 1-800-373-6393 lbremner@bcsc.bc.ca Veronica Armstrong Senior Legal Counsel Capital Markets Regulation British Columbia Securities Commission Tel: 604-899-6839 1-800-373-6393 varmstrong@bcsc.bc.ca -5- #4959405 v1 Navdeep Gill Manager, Registration Alberta Securities Commission …

The Minister may approve or reject the Custody Amendments or return them for further consideration. Appendix D – New Category Names – Firms

About Numbering System The amendments are to section 14.6.1 [custodial provisions relating to certain margin or security interests] of NI 31-103.

11.3 Designating a chief compliance officer 8.15 Schedule III banks and cooperative associations – evidence of deposit Temporary Exemption from Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [Blanket Order] 31-535 8.8 Additional investment in investment funds 10.4 Activities not permitted while a firm’s registration is suspendedDivision 2 Revoking a firm’s registration10.5 Revocation of a suspended registration – firm

3.9 Exempt market dealer – dealing representative In Québec, the Custody Amendments are adopted as a regulation made under section 331.1 of the Securities Act (Québec) and must be approved, with or without amendment, by the Minister of Finance. 699 0 obj <>/Encrypt 684 0 R/Filter/FlateDecode/ID[<88AF0E5BF4294F46BBC486C07572DAD9>]/Index[683 29]/Info 682 0 R/Length 80/Prev 1130770/Root 685 0 R/Size 712/Type/XRef/W[1 2 1]>>stream

8.16 Plan administrator 1.2 Interpretation of “securities” in Alberta, British Columbia, New Brunswick and Saskatchewan 12.2 Notifying the regulator of a subordination agreementDivision 2 Insurance12.3 Insurance – dealer 1. h��V]L[e�����@�)������"�fnJ��ln~V��`V�Ūk����:�bT�#CMh�9��ɤE\f��:o�Y2�Hp���~�wN{*^靧=o���������9 @¯dA�+`�r���Q0S��8�NVO�����p�����Z��ĹD�S]>�h|����ω�y]�b�rK��.����X&�х�Κ��zUQoM�WF7����O縸��ޱ��թ�ƙ��yW����`�1�L�%��iAQ���ap�2��Y�uѣAw7���Mp=� O�Z�wl��_�סv��S�7� �yWɽ�oT�SG�~4�-�ty�o�����].g�̚i�xg^�0n���|���*�CЇ���X������-�uz8�p�ь̛�u������f|ׂ���1@E�vk��f���{��E�Q��������G�OѨ_���C� Dealers, Advisers and Investment Fund Managers, 3 - Registration Requirements and Related Matters, CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Custody-Related Amendments. We, the Canadian Securities Administrators (the CSA), are adopting amendments (the Custody Amendments) to certain custody-related provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103). As this change is not material, we are not publishing the Custody Amendments for another comment period.

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This Companion Policy sets out how the Canadian Securities Administrators (the CSA or we) interpret or apply the provisions of National Instrument 31-103 Registration Requirements and Exemptions(NI 31-103) and related securities legislation.

disbursements properly incurred in connection with the provision of legal services to the commission 29 to 31: Repealed. 7.2 Adviser categories 683 0 obj <> endobj









258/2018, s. 2 (g).]
Appendix A – Bonding and Insurance Clauses National Instrument 31-103 Registration Requirements and Exemptions Supplement to the OSC Bulletin July 17, 2009 197 (2009) 32 OSCB (Supp-2) Business operations

Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service 8.6 Investment fund trades by adviser to managed account investors (English and Chinese version) 卑斯證監會指控一女仕欺詐三名卑斯省投資者三百萬元, Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers, Champignon Brands Inc. [Cease Trade Order], VIPR Corp. (formerly Viper Corp., which was formerly S2C Global Systems, Inc.) [Variation of Cease Trade Order], © 2020 British Columbia Securities Commission, Inquiries: 604-899-6854 or 1-800-373-6393, Understanding Your BCSC Compliance Examination, Marketplaces, SROs & Market Infrastructure, 3 - Registration Requirements & Related Matters, 5 - Ongoing Requirements for Issuers & Insiders, 7 - Securities Transactions Outside the Jurisdiction, Historical Blanket Orders and Rulings (BOR), Historical Notices and Interpretation Notes (NIN), Research, Track & File Exemption Applications, Requirements for Local Exemption Application, Exemptive Relief and Exemption Application Process FAQs, 44-101 - Short Form Prospectus Distributions [NI]. If all necessary approvals are obtained, the Custody Amendments will come into force on June 12, 2019 or, if after June 12, 2019, on the day on which they are filed with the Registrar of Regulations. We published proposed amendments for comment on October 25, 2018 (the October 2018 Proposal). 3.3 Time limits on examination requirementsDivision 2 Education and experience requirements3.4 Proficiency – initial and ongoing

National Instrument 31-103 Registration Requirements and Exemptions Supplement to the OSC Bulletin July 17, 2009 196 (2009) 32 OSCB (Supp-2) NATIONAL INSTRUMENT 31-103 REGISTRATION REQUIREMENTS AND EXEMPTIONS Table of Contents Individual registration Firm registration Part 1 Interpretation 1.1 Definitions of terms used throughout this Instrument 1.2 Interpretation of “securities… investors (English and Chinese version) 卑斯證監會指控一女仕欺詐三名卑斯省投資者三百萬元, Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers, Champignon Brands Inc. [Cease Trade Order], VIPR Corp. (formerly Viper Corp., which was formerly S2C Global Systems, Inc.) [Variation of Cease Trade Order], © 2020 British Columbia Securities Commission, 31-103 Appendix B - Subordination Agreement, Jan 2012, 31-103 [NI] Consolidated version, Feb 28, 2012, Inquiries: 604-899-6854 or 1-800-373-6393, Understanding Your BCSC Compliance Examination, Marketplaces, SROs & Market Infrastructure, 3 - Registration Requirements & Related Matters, 5 - Ongoing Requirements for Issuers & Insiders, 7 - Securities Transactions Outside the Jurisdiction, Historical Blanket Orders and Rulings (BOR), Historical Notices and Interpretation Notes (NIN), Research, Track & File Exemption Applications, Requirements for Local Exemption Application, Exemptive Relief and Exemption Application Process FAQs, BCN 2012/04 - Notice of Adoption of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and its companion policy [BCN], 31-103CP - Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded].

In Ontario, the Custody Amendments, as well as other required materials, were delivered to the Minister of Finance on March 7, 2019.

711 0 obj <>stream (2) In Saskatchewan, despite subsection (1), if this Instrument is filed with the Registrar of Regulations after June 12, 2019, this Instrument comes into force on the day on which it is filed with the Registrar of Regulations.

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NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations CSA Canadian Securities Administrators G20 Group of 20 Major Economies IIROC Investment Industry Regulatory Organization of Canada MAP Market Analysis Platform, a data system to monitor trading abuse NI National Instrument NOH Notice of Hearing OSC Ontario Securities Commission TAP Taxpayer … endstream endobj startxref

Legislation |

In some jurisdictions, ministerial approvals are required for the implementation of the Custody Amendments. 3.5 Mutual fund dealer – dealing representative JavaScript is disabled or not supported by this browser. The substance and purpose of the Custody Amendments is to continue to align the permissible custodial practices in section 14.6.1 of NI 31-103 with the similar permitted custodial practices for investment funds in subsection 6.8(2) of National Instrument 81-102 Investment Funds (NI 81-102).

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