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02 janvier 2024
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 its Companion Policy that came into force on June 6, 2022.
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.