• BCP 31-601 June 1, 2005 |
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PART

TITLE

PART A

STREAMLINING INFORMATION AND CONTEXT

PART 1

EFFECTIVE DATE AND PURPOSE

1.1

Effective Date

1.2

Purpose of this Policy

1.3

Refer to the Act, Regulation and Rules

1.4

Forms

1.5

Courses

1.6

Defined Terms

PART 2

CATEGORIES OF REGISTRATION

2.1

Dealer

2.2

Underwriter

2.3

Adviser

2.4

Partner, Director or Officer

2.5

Salesperson and Advising Employee

PART 3

REGISTRATION FOR SECURITIES AND LICENSING FOR INSURANCE

3.1

Purpose and Scope

3.2

Dealer’s Responsibility

3.3

Requirements for Registration as a Salesperson

3.4

Executive Director’s Requirements for Individuals Applying for Licensing under the Financial Institutions Act

3.5

Executive Director May Impose Conditions

3.6

General Conditions for Maintaining Registration

3.7

Salesperson’s Conditions for Maintaining Registration

3.8

Dealer’s Conditions for Maintaining Registration

3.9

Delivery of Notice

PART 4

CONDITIONS OF REGISTRATION

4.1

Power to Waive, Vary or Add to Provisions Respecting Registration

4.2

Duty to Deal Fairly, Honestly and in Good Faith

4.3

Referral Fees and Commission Splitting

4.4

Contingent Commissions and Fees

4.5

Communication with the Public

4.6

Holding Out

4.7

Trading Securities Under Exemptions

4.8

Interest in Other Registrants

4.9

Conflict of Interest

4.10

Writing and Rewriting Courses or Examinations

4.11

Application for Renewal of Registration

4.12

Opportunity to be Heard

4.13

Hearing and Review

PART 5

RECORD KEEPING AND POLICY AND PROCEDURE MANUAL

5.1

Record Keeping Requirements

5.2

Summary of Distributions - Underwriter's Record Keeping Requirements

5.3

Financial Statements

5.4

Other Financial Reports

5.5

Members to File with IDA - Pacific

5.6

Policy and Procedure Manual

5.7

Due Diligence Procedures for Underwriters

5.8

Documents to be Available for Inspection

5.9

Records to be Kept by Securities Advisers

PART 6

COMPLIANCE OFFICERS AND BRANCH MANAGERS

6.1

Compliance Officer

6.2

Branch Manager

PART 7

INVESTMENT DEALER

7.1

General Requirements

7.2

Description of Investment Dealer

7.3

Application to IDA - Pacific

7.4

Categories of Registration used by IDA - Pacific

PART 8

SECURITIES DEALER

8.1

General Requirements

8.2

Description of Securities Dealer

8.3

Positive Risk Adjusted Capital

8.4

Proficiency Requirements for Trading Partner, Director or Officer

8.5

Proficiency Requirements for Salesperson

8.6

Proficiency Requirements for Compliance Officer

PART 9

LIMITED DEALER - EXCHANGE CONTRACTS DEALER

9.1

General Requirements

9.2

Description of Limited Dealer - Exchange Contracts Dealer

9.3

Additional Conditions of Registration for Trading in Foreign Exchange Contracts

9.4

Positive Risk Adjusted Capital

9.5

Proficiency Requirements for Trading Partner, Director or Officer

9.6

Proficiency Requirements for Salesperson

9.7

Proficiency Requirements for Compliance Officer

PART 10

LIMITED DEALER - MUTUAL FUND DEALER

10.1

General Requirements

10.2

Description of Limited Dealer - Mutual Fund Dealer

10.3

Working Capital

10.4

Proficiency Requirements for Trading Partner, Director or Officer

10.5

Proficiency Requirements for Salesperson

10.6

Proficiency Requirements for Compliance Officer

PART 11

LIMITED DEALER - SECURITY ISSUER

11.1

General Requirements

11.2

Description of Limited Dealer - Security Issuer

11.3

Proficiency Requirements for Trading Partner, Director or Officer

11.4

Proficiency Requirements for Salesperson

11.5

Proficiency Requirements for Compliance Officer

PART 12

LIMITED DEALER - REAL ESTATE SECURITIES DEALER

12.1

General Requirements

12.2

Description of Limited Dealer - Real Estate Securities Dealer

12.3

Working Capital

12.4

Proficiency Requirements for Trading Partner, Director or Officer

12.5

Proficiency Requirements for Salesperson

12.6

Proficiency Requirements for Compliance Officer

PART 13

LIMITED DEALER - SCHOLARSHIP PLAN DEALER

13.1

General Requirements

13.2

Description of Limited Dealer - Scholarship Plan Dealer

13.3

Working Capital

13.4

Proficiency Requirements for Trading Partner, Director or Officer

13.5

Proficiency Requirements for Salesperson

13.6

Proficiency Requirements for Compliance Officer

PART 14

UNDERWRITER

14.1

General Requirements

14.2

Description of Underwriter

14.3

Application to IDA - Pacific or Commission

14.4

Positive Risk Adjusted Capital

14.5

Proficiency Requirements for Compliance Officer

PART 15

PORTFOLIO MANAGER

15.1

General Requirements

15.2

Description of Portfolio Manager

15.3

Exemption for Investment Dealer Acting as Portfolio Manager

15.4

Working Capital

15.5

Proficiency Requirements for Advising Partner, Director or Officer and Advising Employee

15.6

Proficiency Requirements for Advising a Mutual Fund about Permitted Derivatives

15.7

Proficiency Requirements for Compliance Officer

15.8

Other Restrictions on Managing Portfolios

15.9

Conditions of Registration - Foreign Adviser

PART 16

INVESTMENT COUNSEL

16.1

General Requirements

16.2

Description of Investment Counsel

16.3

Working Capital

16.4

Proficiency Requirements for Advising Partner, Director or Officer and Advising Employee

16.5

Proficiency Requirements for Compliance Officer

16.6

Other Restrictions on Investment Counseling

16.7

Conditions of Registration - Foreign Adviser

PART 17

SECURITIES ADVISER

17.1

General Requirements

17.2

Description of Securities Adviser

17.3

Proficiency Requirements for Advising Partner, Director or Officer and Advising Employee

17.4

Proficiency Requirements for Compliance Officer

17.5

Other Restrictions on Advising

APPENDIX 1 - DEFINITIONS

APPENDIX 2 - INFORMATION SOURCES