33-513 - Exemption from financial statement, capital and bonding requirements for MFDA members [BCI - Rescinded]
| Published Date: | 2003-11-26 |
|---|---|
| Effective Date: | 2003-11-25 |
| Rescinded Date: | 2009-09-28 |
British Columbia Securities Commission
BC Instrument 33-513
The British Columbia Securities Commission, having considered that to do so would not be prejudicial to the public interest, orders that the attached BC Instrument 33-513 entitled “Exemption from financial statement, capital and bonding requirements for MFDA members” is made.
November 25, 2003
Douglas M. Hyndman
Chair
________________________________________________________________
(This part is for administrative purposes only and is not part of the Order)
Authority under which Order is made:
Act and sections: SecuritiesAct, section 48(1)
Other (specify):
BC Instrument 33-513
Exemption from financial statement, capital and bonding requirements
for MFDA members
Order under section 48(1) of the Securities Act
Interpretation
1. Terms defined in the Securities Act, the Securities Rules or National Instrument
14-101 Definitions have the same meaning in this Instrument.
Relief from financial statement, capital, and bonding requirements
2. A registrant that is a member of the Mutual Fund Dealers Association of Canada (MFDA) is exempt from sections 19(3), 19(5), 21, 41(1)(c), 41(2), 69, and 70(3) to (7) of the Securities Rules if it complies with the bylaws, rules, and other regulatory instruments and policies of the MFDA relating to capital, financial filings, and bonding.