3 - Registration Requirements and Related Matters

Decision Information

Decision Content

Amendments to Companion Policy 33-105CP Underwriting Conflicts 1. Companion Policy 33-105CP Underwriting Conflicts is amended by this Instrument. 2. In the following provisions of the Companion Policy registrant is struck out wherever it occurs and specified firm registrant is substituted: a. section 2.1, b. section 2.2, c. section 2.4, d. section 4.1, e. section 4.2, f. section 4.3, g. section 5.1, and h. section 6.1. 3. Appendix A-1 is amended by striking out registrant wherever it occurs and substituting specified firm registrant”. 4. Appendix A-2 is amended by striking out registrant wherever it occurs and substituting specified firm registrant”. 5. Appendix A-3 is amended by striking out registrant wherever it occurs and substituting specified firm registrant”. 6. Appendix A-4 is amended by striking out registrant wherever it occurs and substituting specified firm registrant”. 7. This Instrument comes into force on the day National Instrument 31-103 Registration Requirements and Exemptions comes into force.
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