NIN 89/03 - Conflict of Interest Rules Statement - Clarification of Filing Requirements [NIN - Rescinded]
Published Date: | 1989-01-20 |
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Effective Date: | 1989-01-20 |
For greater certainty, registrants that engage only in activities that fall within the exceptions contained in sections 167.4(3), (4) or (5), 167.5(2), 167.7(2), (3) or (4), 167.8(2) or 167.9(3) of the Regulation are able to rely on the exemption contained in section 167.3(4) provided they file a statement and undertaking in the required form.
DATED at Vancouver, British Columbia, this 20th day of January, 1989.
Neil de Gelder
Superintendent of Brokers