31-102CP - National Registration Database [CP Blackline Amendment Advance Notice - Lapsed]
- BCN 2009/12 - Advance Notice of National Instrument 31-103 Registration Requirements and Exemptions,Companion Policy 31-103CP Registration Requirement and Exemptions,BC Interpretation Note XX, and BC Instrument 33-5xx and its companion policy, and consequential amendments to national and local instruments [BCN - Lapsed]
COMPANION POLICY 31-102CP
TO NATIONAL INSTRUMENT 31-102
NATIONAL REGISTRATION DATABASE
APPLICATION AND PURPOSE 1.1 Application - National Instrument 31-102 ("NI 31-102") has been implemented in all jurisdictions. 1.2 Purpose - The purpose of NI 31-102 is to establish requirements for the electronic submission of registration information through NRD. References in this policy to "we" mean the securities regulatory authority and regulator.\
PART 2 PRODUCTION OF NRD FILINGS
2.1 Each relevant securities regulatory authority or regulator, as applicable, considersWe consider that it may satisfy such a requirement in the case of information filed in NRD format by providing a printed copy or other output of the information in readable form that contains or is accompanied by a certification by the securities regulatory authority or regulator that the printed copy or output is a copy of the information filed in NRD format.
PART 3 DATE OF FILING
3.1 The securities regulatory authority or regulator takes the viewWe think that information filed in NRD format is, for purposes of securities legislation, filed on the day that the transmission of the information to NRD is completed.
PART 4 OFFICIAL COPY OF NRD FILINGS
4.1 For purposes of securities legislation, securities directions or any other related purpose, the securities regulatory authority or regulator takes the viewwe think that the official record of any information filed in NRD format by an NRD filer is the electronic information stored in NRD.
PART 5 AUTHORIZED FIRM REPRESENTATIVE AS AGENT
5.1 The securities regulatory authority or regulator is of the viewWe think that when making an NRD submission an AFR is an agent of the firm or individual to whom the filing relates.
PART 6 ONGOING FIRM FILER REQUIREMENTS
6.1 The securities regulatory authority or regulator expectsWe expect that firm filers will follow the processes set out in the NRD Filer ManualUser Guide to: (1) enroll(a) enrol with the NRD administrator; (2)(b) keep their enrolment information current ,; and (3)(c) keep their NRD account information current.
PART 7 COMMODITY FUTURES ACT SUBMISSIONS
7.1 In Ontario and Manitoba, if a person or company is required to make a submission under both NI 31-102 and OSC Rule 31-509 (Commodity Futures Act), or in Manitoba, MSC Rule 2000-1 (Commodity Futures Act), with respect to the same information, the securities regulatory authority is of the view that a single filing on a form required under either rule satisfies both requirements.