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ARTICLE · 18 JUNE 2010

Upcoming Deadlines under National Instrument 31-103 Registration Requirements and Exemptions

Stikeman Elliott LLP
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We are writing to remind you of upcoming deadlines under National Instrument 31-103 Registration Requirements and Exemptions (31-103), which may apply to your firm.

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Investment Funds Group
Investment Funds Group
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We are writing to remind you of upcoming deadlines under National Instrument 31-103 Registration Requirements and Exemptions (31-103), which may apply to your firm.

31-103, which came into effect on September 28, 2009 (the Effective Date), provides transition periods for compliance with various requirements to allow persons and companies registered or active on the Effective Date to adapt to Canada's new registration regime. A number of these transition periods are set to expire in September, 2010.

September 27, 2010 – Deadline to Comply with Capital Requirements: Firms (other than IIROC and MFDA members) registered prior to the Effective Date that continue to be registered must comply with the new capital requirements under Part 12 of 31-103 by no later than September 27, 2010. If registered in more than one category, the firm must satisfy the highest capital requirement of its categories of registration.

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