31-601 - Registration Requirements [BCP - Rescinded]
Published Date: | 2003-11-26 |
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Effective Date: | 2003-11-25 |
Rescinded Date: | 2005-06-01 |
Document(s): |
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Table of Contents
PART | TITLE |
PART A | STREAMLINING INFORMATION AND CONTEXT |
PART 1 | EFFECTIVE DATE AND PURPOSE |
1.1Effective Date | |
1.2Purpose of this Policy | |
1.3Refer to the Act, Regulation and Rules | |
1.4Forms | |
1.5Courses | |
1.6Defined Terms | |
PART 2 | CATEGORIES OF REGISTRATION |
2.1Dealer | |
2.2Underwriter | |
2.3Adviser | |
2.4Partner, Director or Officer | |
2.5Salesperson and Advising Employee | |
PART 3 | REGISTRATION FOR SECURITIES AND LICENSING FOR INSURANCE |
3.1Purpose and Scope | |
3.2Dealer’s Responsibility | |
3.3Requirements for Registration as a Salesperson | |
3.4Executive Director’s Requirements for Individuals Applying for Licensing under the Financial Institutions Act | |
3.5Executive Director May Impose Conditions | |
3.6General Conditions for Maintaining Registration | |
3.7Salesperson’s Conditions for Maintaining Registration | |
3.8Dealer’s Conditions for Maintaining Registration | |
3.9Delivery of Notice | |
PART 4 | CONDITIONS OF REGISTRATION |
4.1Power to Waive, Vary or Add to Provisions Respecting Registration | |
4.2Duty to Deal Fairly, Honestly and in Good Faith | |
4.3Referral Fees and Commission Splitting | |
4.4Contingent Commissions and Fees | |
4.5Communication with the Public | |
4.6Holding Out | |
4.7Trading Securities Under Exemptions | |
4.8Interest in Other Registrants | |
4.9Conflict of Interest | |
4.10Writing and Rewriting Courses or Examinations | |
4.11Application for Renewal of Registration | |
4.12Opportunity to be Heard | |
4.13Hearing and Review | |
PART 5 | RECORD KEEPING AND POLICY AND PROCEDURE MANUAL |
5.1Record Keeping Requirements | |
5.2Summary of Distributions - Underwriter's Record Keeping Requirements | |
5.3Financial Statements | |
5.4Other Financial Reports | |
5.5Members to File with IDA - Pacific | |
5.6Policy and Procedure Manual | |
5.7Due Diligence Procedures for Underwriters | |
5.8Documents to be Available for Inspection | |
5.9Records to be Kept by Securities Advisers | |
PART 6 | COMPLIANCE OFFICERS AND BRANCH MANAGERS |
6.1Compliance Officer | |
6.2Branch Manager | |
PART 7 | INVESTMENT DEALER |
7.1General Requirements | |
7.2Description of Investment Dealer | |
7.3Application to IDA - Pacific | |
7.4Categories of Registration used by IDA - Pacific | |
PART 8 | SECURITIES DEALER |
8.1General Requirements | |
8.2Description of Securities Dealer | |
8.3Positive Risk Adjusted Capital | |
8.4Proficiency Requirements for Trading Partner, Director or Officer | |
8.5Proficiency Requirements for Salesperson | |
8.6Proficiency Requirements for Compliance Officer | |
PART 9 | LIMITED DEALER - EXCHANGE CONTRACTS DEALER |
9.1General Requirements | |
9.2Description of Limited Dealer - Exchange Contracts Dealer | |
9.3Additional Conditions of Registration for Trading in Foreign Exchange Contracts | |
9.4Positive Risk Adjusted Capital | |
9.5Proficiency Requirements for Trading Partner, Director or Officer | |
9.6Proficiency Requirements for Salesperson | |
9.7Proficiency Requirements for Compliance Officer | |
PART 10 | LIMITED DEALER - MUTUAL FUND DEALER |
10.1General Requirements | |
10.2Description of Limited Dealer - Mutual Fund Dealer | |
10.3Working Capital | |
10.4Proficiency Requirements for Trading Partner, Director or Officer | |
10.5Proficiency Requirements for Salesperson | |
10.6Proficiency Requirements for Compliance Officer | |
PART 11 | LIMITED DEALER - SECURITY ISSUER |
11.1General Requirements | |
11.2Description of Limited Dealer - Security Issuer | |
11.3Proficiency Requirements for Trading Partner, Director or Officer | |
11.4Proficiency Requirements for Salesperson | |
11.5Proficiency Requirements for Compliance Officer | |
PART 12 | LIMITED DEALER - REAL ESTATE SECURITIES DEALER |
12.1General Requirements | |
12.2Description of Limited Dealer - Real Estate Securities Dealer | |
12.3Working Capital | |
12.4Proficiency Requirements for Trading Partner, Director or Officer | |
12.5Proficiency Requirements for Salesperson | |
12.6Proficiency Requirements for Compliance Officer | |
PART 13 | LIMITED DEALER - SCHOLARSHIP PLAN DEALER |
13.1General Requirements | |
13.2Description of Limited Dealer - Scholarship Plan Dealer | |
13.3Working Capital | |
13.4Proficiency Requirements for Trading Partner, Director or Officer | |
13.5Proficiency Requirements for Salesperson | |
13.6Proficiency Requirements for Compliance Officer | |
PART 14 | UNDERWRITER |
14.1General Requirements | |
14.2Description of Underwriter | |
14.3Application to IDA - Pacific or Commission | |
14.4Positive Risk Adjusted Capital | |
14.5Proficiency Requirements for Compliance Officer | |
PART 15 | PORTFOLIO MANAGER |
15.1General Requirements | |
15.2Description of Portfolio Manager | |
15.3Exemption for Investment Dealer Acting as Portfolio Manager | |
15.4Working Capital | |
15.5Proficiency Requirements for Advising Partner, Director or Officer and Advising Employee | |
15.6Proficiency Requirements for Advising a Mutual Fund about Permitted Derivatives | |
15.7Proficiency Requirements for Compliance Officer | |
15.8Other Restrictions on Managing Portfolios | |
15.9Conditions of Registration - Foreign Adviser | |
PART 16 | INVESTMENT COUNSEL |
16.1General Requirements | |
16.2Description of Investment Counsel | |
16.3Working Capital | |
16.4Proficiency Requirements for Advising Partner, Director or Officer and Advising Employee | |
16.5Proficiency Requirements for Compliance Officer | |
16.6Other Restrictions on Investment Counseling | |
16.7Conditions of Registration - Foreign Adviser | |
PART 17 | SECURITIES ADVISER |
17.1General Requirements | |
17.2Description of Securities Adviser | |
17.3Proficiency Requirements for Advising Partner, Director or Officer and Advising Employee | |
17.4Proficiency Requirements for Compliance Officer | |
17.5Other Restrictions on Advising | |
APPENDIX 1 - DEFINITIONS | |
APPENDIX 2 - INFORMATION SOURCES |