33-109 - Registration Information [NI - Rescinded]
Published Date: | 2009-09-25 |
---|---|
Effective Date: | 2009-09-28 |
Rescinded Date: | 2011-07-11 |
Document(s): |
Concurrently Published:
- 33-109CP - Registration Information [CP - Rescinded]
- 33-109F1 - Notice of Termination of Registered Individuals and Permitted Individuals [F - Rescinded]
- 33-109F2 - Change or Surrender of Individual Categories [F - Rescinded]
- 33-109F3 - Business Locations other than Head Office [F - Rescinded]
- 33-109F4 - Registration of Individuals and Review of Permitted Individuals [F - Rescinded]
- 33-109F5 - Change of Registration Information [F - Rescinded]
- 33-109F6 - Firm Registration [F - Rescinded]
- 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 - DEFINITIONS AND INTERPRETATION
1.1 Definitions
1.2 Interpretation
PART 2 - APPLICATION FOR REGISTRATION AND REVIEW OF PERMITTED INDIVIDUALS
2.1 Firm Registration
2.2 Individual Registration
2.3 Reinstatement
2.4 Application to Change or Surrender Individual Registration Categories
2.5 Permitted Individuals
2.6 Commodity Futures Act Registrants
PART 3 - CHANGES TO REGISTERED FIRM INFORMATION
3.1 Notice of Change to a Firm’s Information
3.2 Changes to Business Locations
PART 4 - CHANGES TO REGISTERED INDIVIDUAL AND PERMITTED INDIVIDUAL INFORMATION
4.1 Notice of Change to an Individual’s Information
4.2 Termination of Employment, Partnership or Agency Relationship
PART 5 - DUE DILIGENCE AND RECORD-KEEPING
5.1 Sponsoring Firm Obligations
PART 6 - TRANSITION
6.1 All Registered Firms to File Form 33-109F6 - September 30, 2010
6.2 Notice of Change for Firms Registered before September 28, 2009
6.3 National Registration Database Transition Period
6.4 Transition - Reinstatement under Subsections 2.3(2) and 2.5(2)
PART 7 - EXEMPTION
7.1 Exemption
PART 8 - REPEAL AND EFFECTIVE DATE
8.1 Repeal
8.2 Effective Date
Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals
Form 33-109F2 Change or Surrender of Individual Categories
Form 33-109F3 Business Locations other than Head Office
Form 33-109F4 Registration of Individuals and Review of Permitted Individuals
Form 33-109F5 Change of Registration Information
Form 33-109F6 Firm Registration
Form 33-109F7 Reinstatement of Registered Individuals and Permitted Individual