Registrant Regulation
The British Columbia Securities Commission oversees – or helps oversee – the business of trading or advising in securities or derivatives.
We expect registrants to meet standards for professional knowledge and integrity, emphasizing that they treat clients honestly and fairly.
Related Instruments & Policies
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11-102 Passport System [MI]
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111-204 Process for Registration in Multiple Jurisdictions [NP]
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31-102 National Registration Database [NI]
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31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI - Rescinded]
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33-109 Registration Information
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45-106 Prospectus Exemptions [NI - Rescinded]
Related CSA Staff Notices
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31-350 Guidance on Small Firms Compliance and Regulatory Obligations [CSA Staff Notice]
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31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers [CSA Staff Notice]
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31-354 Suggested Practices for Engaging with Older or Vulnerable Clients [CSA Staff Notice]
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31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations [CSA Staff Notice]