31-601 - Registration Requirements [BCP - Rescinded]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Rescinded Date: | 2005-06-01 |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 |
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PART A | STREAMLINING INFORMATION AND CONTEXT |
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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 |
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PART 2 | CATEGORIES OF REGISTRATION |
![]() | 2.1Dealer |
![]() | 2.2Underwriter |
![]() | 2.3Adviser |
![]() | 2.4Partner, Director or Officer |
![]() | 2.5Salesperson and Advising Employee |
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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 |
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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 |
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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 |
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PART 6 | COMPLIANCE OFFICERS AND BRANCH MANAGERS |
![]() | 6.1Compliance Officer |
![]() | 6.2Branch Manager |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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APPENDIX 1 - DEFINITIONS | ![]() |
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APPENDIX 2 - INFORMATION SOURCES | ![]() |