Canadian Securities Administrators propose further changes to Registration Rules for Dealers, Advisers and Investment Fund Managers

The CSA announced further changes to NI 31-103 in order to streamline and increase efficiency, with comments due by March 5, 2014.    These changes include the following: Providing guidance on proficiency requirements for those individuals applying as an associate advising representative or as an advising representative Providing guidance on the experience required of a chief... Continue Reading