Skip Navigation
Securities Law

NIN 89/03 - Conflict of Interest Rules Statement - Clarification of Filing Requirements [NIN - Rescinded]

Published Date: 1989-01-20
Effective Date: 1989-01-20
Section 167.3(1) of the Securities Regulation, B.C. Reg. 270/86 (the "Regulation"), requires every registrant to prepare and file a conflict of interest rules statement in the required form. Section 167.3(4) provides an exemption from this requirement if the registrant does not engage in activities as an adviser, dealer or underwriter in the circumstances set out in sections 167.4, 167.5, 167.7, 167.8 or 167.9 of the Regulation and files a statement and undertaking in the required form.

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