...Each firm is required to pay a fee to enrol in NRD. Applicants for registration are charged system fees when filing applications for Initial Registration, Reactivation of Registration, or Registration...
...CSA members to complete their registration should contact the CSA member that is their principal regulator to discuss whether time-limited registration as a restricted dealer is appropriate for the CTP....
MONTREAL and TORONTO – The Canadian Securities Administrators (CSA) is providing a further update for crypto asset trading platforms (CTPs) that are registered, or that provided a pre-registration undertaking (PRU),...
...New ↗ New SRO changes its name Canadian Investment Regulatory Organization New Self-Regulatory Organization of Canada and Canadian Investor Protection Fund officially launch National Registration Database – dual registered firms...
...cost of regulatory compliance. The following systems and databases have been consolidated into SEDAR+: SEDAR Cease Trade Order (CTO) database Disciplined List (DL) database Certain filings made in paper or...
...cost of regulatory compliance. The following systems and databases have been consolidated into SEDAR+: SEDAR Cease Trade Order (CTO) database Disciplined List (DL) database Certain filings made in paper or...
...either of the following: initial registration; reactivation of registration. The amount of the system fee is $138 for each Form 33-109F4 submitted for each individual applying for registration or review...
...CA, CFE Registration Accountant, Compliance & Registrant Regulation Commission des valeurs mobilières de l’Ontario 416 593-8131 achung@osc.gov.on.ca Mark French Manager, Registration & Dealer Compliance British Columbia Securities Commission 604 899-6856 mfrench@bcsc.bc.ca Wendy...
...entend notamment les gestionnaires de fonds d’investissement non inscrits (unregistered investment fund managers) et les sociétés internationales dispensées non inscrites (unregistered exempt international firms). Les personnes inscrites et les participants...
...commissions provide certain registration information about registrants on their websites, including name, registration category, and any terms and conditions, so the public is able to obtain some information at this...
