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ARTICLE · 05 OCTOBER 2009

Changes To The Private Placement Regime As Registration Reform Takes Effect In Canada

Blake, Cassels & Graydon LLP
Blake, Cassels & Graydon LLP
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Canada’s new dealer registration rules came into force on September 28, 2009.

CanadaFinance and Banking
Blake, Cassels & Graydon LLP
Blake, Cassels & Graydon LLP
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Copyright 2009, Blake, Cassels & Graydon LLP

Originally published in Blakes Bulletin on Securities Regulation, October 2009

Canada's new dealer registration rules came into force on September 28, 2009. The rules, consisting of National Instrument 31-103 – Registration Requirements and Exemptions (NI31-103) and a large number of other new and related rules, policies and statutory amendments, represent the culmination of a lengthy effort by the Canadian securities administrators (CSA) to harmonize and simplify the registration regime across Canada. The new rules will regulate the registration of persons engaged in the business of trading or advising in securities or that are investment fund managers. The rules also prescribe detailed, and in some cases new, requirements relating to proficiency, solvency, compliance and insurance requirements, as well as prescribing detailed operational requirements on registrants. The rules include a number of transitional,

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