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Insights

May 05, 2022

ARTICLE

The Registration Rules Book

Securities Law Resource

BLG’s Investment Management Group is pleased to share its Registration Rules Book, a compilation of the most commonly used national and multilateral instruments and policies affecting registered financial services firms and individuals.

This rules book has been updated to include amendments to National Instruments 31-103 and 33-109 and their Companion Policies that came into force on June 30, 2021, December 31, 2021 and January 5, 2022, including amendments that will come into effect on June 1, 2022 and June 6, 2022, shown in shaded grey boxes.

Download the Registration Rules Book

 

This publication does not reflect other amendments that have been proposed but are not yet in force on the date of publication, and also does not include the rules established by self-regulatory organizations (SROs), such as the Investment Industry Regulatory Organization of Canada or the Mutual Fund Dealers Association of Canada.

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