31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
| Published Date: | 2011-07-08 |
|---|---|
| Effective Date: | 2011-07-11 |
| Rescinded Date: | 2012-02-28 |
| Document(s): |
Concurrently Published:
- 31-103CP - Registration Requirements, Exemptions and Ongoing Registrant Obligations [CP - Rescinded]
- 31-103F1 - Calculation of Excess Working Capital [F - Rescinded]
- 31-103F2 - Submission to Jurisdiction and Appointment of Agent for Service [F - Rescinded]
- 31-103F3 - Use of Mobility Exemption [F - Rescinded]
- BCN 2011/18 - Adoption of Amendments to National Instrument 31-103 Registration Requirements and Exemptions and Amendments to National Instrument 33-109 Registration Information [BCN]
| Individual registration | Part 1 Interpretation Part 2 Categories of registration for individuals Part 3 Registration requirements – individuals Division 1 General proficiency requirements |
| Firm registration | Part 7 Categories of registration for firms |
| Business operations | Part 11 Internal controls and systems |
| Client relationships | Part 13 Dealing with clients – individuals and firms Division 1 Know your client and suitability 13.1 Investment fund managers exempt from this Division 13.2 Know your client 13.3 Suitability Division 2 Conflicts of interest 13.4 Identifying and responding to conflicts of interest 13.5 Restrictions on certain managed account transactions 13.6 Disclosure when recommending related or connected securities Division 3 Referral arrangements 13.7 Definitions – referral arrangements 13.8 Permitted referral arrangements 13.9 Verifying the qualifications of the person or company receiving the referral 13.10 Disclosing referral arrangements to clients 13.11 Referral arrangements before this Instrument came into force Division 4 Loans and margin 13.12 Restriction on lending to clients 13.13 Disclosure when recommending the use of borrowed money Division 5 Complaints 13.14 Application of this Division 13.15 Handling complaints 13.16 Dispute resolution service Part 14 Handling client accounts – firms Division 1 Exemption for investment fund managers 14.1 Investment fund managers exempt from Part 14 Division 2 Disclosure to clients 14.2 Relationship disclosure information 14.3 Disclosure to clients about the fair allocation of investment opportunities 14.4 When the firm has a relationship with a financial institution 14.5 Notice to clients by non-resident registrants Division 3 Client assets 14.6 Holding client assets in trust 14.7 Holding client assets – non-resident registrants 14.8 Securities subject to a safekeeping agreement 14.9 Securities not subject to a safekeeping agreement Division 4 Client accounts 14.10 Allocating investment opportunities fairly 14.11 Selling or assigning client accounts Division 5 Account activity reporting 14.12 Content and delivery of trade confirmation 14.13 Confirmations for certain automatic plans 14.14 Account statements |
| Exemption from this Instrument | Part 15 Granting an exemption 15.1 Who can grant an exemption |
| Transition and timing | Part 16 Transition 16.1 Change of registration categories – individuals 16.2 Change of registration categories – firms 16.3 Change of registration categories – limited market dealers 16.4 Registration for investment fund managers active when this Instrument comes into force 16.5 Temporary exemption for Canadian investment fund manager registered in its principal jurisdiction 16.6 Temporary exemption for foreign investment fund managers 16.7 Registration of exempt market dealers 16.8 Registration of ultimate designated persons 16.9 Registration of chief compliance officers 16.10 Proficiency for dealing and advising representatives 16.11 Capital requirements 16.12 Continuation of existing discretionary relief 16.13 Insurance requirements 16.14 Relationship disclosure information 16.15 Referral arrangements 16.16 Complaint handling 16.17 Client statements – mutual fund dealers 16.18 Transition to exemption – international dealers 16.19 Transition to exemption – international advisers 16.20 Transition to exemption – portfolio manager and investment counsel (foreign) Part 17 When this Instrument comes into force 17.1 Effective date |
Forms andAppendices | Form 31-103F1 Calculation of Excess Working CapitaL Form 31-103F2 Submission to Jurisdiction and Appointment of Agent for Service Form 31-103F3 Use of Mobility Exemption Appendix A – Bonding and Insurance Clauses Appendix B – Subordination Agreement Appendix C – New Category Names – Individuals Appendix D – New Category Names – Firms Appendix E – Non-Harmonized Capital Requirements Appendix F – Non-Harmonized Insurance Requirements |