Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Local Rule Document No: 33-501 Subject: Permanent Registration Effective Date: March 17, 2008 Local Rule 33-501 Permanent Registration Part 1 Definitions 1.1 In this Rule: “registered firm” means a person that is registered...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 32-501 Subject: Exemption from the dealer registration requirement and the adviser registration requirement in respect of trades and advice for U.S. resident clients Effective Date: August 13...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-803 Subject: Registration Requirements and Exemptions Effective Date: September 28, 2009 Rule 31-8032 Implementing National Instrument 31-103 Registration Requirements and Exemptions...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-802 Subject: National Registration Database Effective Date: March 17, 2008 Rule 31-802 Implementing National Instrument 31-102 National Registration Database Part 1 Definitions 1.1 In...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-801 Subject: Requirements Under the National Registration System Effective Date: March 17, 2008 Rule 31-801 Implementing National Instrument 31-101 Requirements Under the National...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 31-520 Subject: Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Effective Date: July 15, 2015...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 31-519 Subject: MFDA 2014 CRM2 Amendments Effective Date: July 15, 2014 Blanket Order 31-519 MFDA 2014 CRM2 Amendments Part 1 Definitions 1.1 Unless otherwise defined in this decision or the...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 31-518 Subject: IIROC 2014 CRM2 Amendments Effective Date: July 15, 2014 Blanket Order 31-518 IIROC 2014 CRM2 Amendments Part 1 Definitions 1.1 Unless otherwise defined in this decision or the...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 31-517 Subject: Exemption from the Requirement to Provide Dispute Resolution Services Prescribed by Section 13.16 of NI 31-103 Effective Date: July 5, 2012 Blanket Order 31-517 Exemption from...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 31-516 Subject : Exemption from the Requirement to Register as an Investment Fund Manager Effective Date: July 5, 2012 Blanket Order 31-516 Exemption from the Requirement to Register as an...