Securities Law

31-601 - Registration Requirements [BCP - Rescinded]

Published Date: 2003-11-26
Effective Date: 2003-11-25
Rescinded Date: 2005-06-01
Document(s):

Amendments: BCN 2005/27 Adoption of National Instrument 81-106 Investment Fund Continuous Disclosure and Related Instruments

 

Table of Contents

PARTTITLE
PART ASTREAMLINING INFORMATION AND CONTEXT
PART 1EFFECTIVE 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 2CATEGORIES OF REGISTRATION
2.1Dealer
2.2Underwriter
2.3Adviser
2.4Partner, Director or Officer
2.5Salesperson and Advising Employee
PART 3REGISTRATION 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 4CONDITIONS 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 5RECORD 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 6COMPLIANCE OFFICERS AND BRANCH MANAGERS
6.1Compliance Officer
6.2Branch Manager
PART 7INVESTMENT DEALER
7.1General Requirements
7.2Description of Investment Dealer
7.3Application to IDA - Pacific
7.4Categories of Registration used by IDA - Pacific
PART 8SECURITIES 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 9LIMITED 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 10LIMITED 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 11LIMITED 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 12LIMITED 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 13LIMITED 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 14UNDERWRITER
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 15PORTFOLIO 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 16INVESTMENT 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 17SECURITIES 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