33-109CP - Registration Information [CP - Rescinded]

Concurrently Published:

• BCN 2009/15 - Adoption of National Instrument 31-103 Registration Requirements and Exemptions, Companion Policy 31-103CP Registration Requirements and Exemptions, BC Interpretation Note 33-706, BC Instrument 33-517 Registration and Prospectus exemption for persons registered under the Mortgage Brokers Act, and consequential amendments to national and local instruments [BCN - Lapsed]

Table of Contents

PART           TITLE
PART 1 - GENERAL

1.1 Purpose
1.2 Overview of the forms
1.3 Notice requirements
1.4 Contact information

PART 2 - FORMS USED BY INDIVIDUALS

2.1 National Registration Database (NRD)
2.2 Form 33-109F4
2.3 Form 33-109F2
2.4 Form 33-109F5 for individuals
2.5 Form 33-109F7 for reinstatement
2.6 Ongoing fitness for registration

PART 3 - FORMS USED BY FIRMS

3.1 Form 33-109F6
3.2 Form 33-109F5
3.3 Form 33-109F3
3.4 Discretionary exemption for bulk transfers
3.5 Form 33-109F1

PART 4 - DUE DILIGENCE BY FIRMS

4.1 Obligations of former sponsoring firm
4.2 Obligations of new sponsoring firm

PART 5 - COMMODITY FUTURES ACT SUBMISSIONS

5.1 Ontario
5.2 Manitoba

Appendix A - Summary of Notice Requirements under National Instrument 33-109

Appendix B - Contact Information for the Regulators and IIROC

Appendix C - Discretionary Exemption for Bulk Transfers of Locations and Individuals