Regulatory

NI 31-103

National Instrument on Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Definition

The CSA's foundational rule for registrant conduct. Sets out who must register (dealer, adviser, investment-fund-manager categories), the proficiency requirements, the KYC/KYP/suitability framework, conflict-of-interest rules, complaint handling, and recordkeeping. Adopted by every CSA member jurisdiction.

Source

National Instrument 31-103; Companion Policy 31-103CP

Where this shows up on the CIRE

Outcome 1.1
Outcome 3.1
Outcome 9.1

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