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April 1, 2002

Securities Act Regulations Amendment

The Securities Act Regulations Amendment, EC 2002-138 has been approved with an effective date of April 1, 2002. The amendments:

  • update the conditions and categories of registration for brokers and their salesperson (s. 1, 28, 37, 38, 38.2, 38.3, 39, 39.1, 39.2, 39.4, 40, 41)
  • add conditions and categories of registration for adviser firms and their counselling officers (s. 1, 29.1, 34, 35, 37, 38, 38.1, 38.3, 39.3, 40, 41, 46, 48)
  • provide for a permanent registration system and a fees payment date in December of each year (s. 45.1 to 45.8)
  • require continuous reporting of amendments to registration information (s. 45.9 to 45.98)
  • remove the prescribed fees to a separate document, the Securities Act Fees Regulations (s. 48)
These amendments have been incorporated into the consolidated Securities Act Regulations, EC165/89, as amended.

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