Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 31-520 Subject: Exemptions from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Effective Date: July 15, 2015...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-801 Subject: Requirements Under the National Registration System Effective Date: March 17, 2008 Rule 31-801 Implementing National Instrument 31-101 Requirements Under the National...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-802 Subject: National Registration Database Effective Date: March 17, 2008 Rule 31-802 Implementing National Instrument 31-102 National Registration Database Part 1 Definitions 1.1 In...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 31-803 Subject: Registration Requirements and Exemptions Effective Date: September 28, 2009 Rule 31-8032 Implementing National Instrument 31-103 Registration Requirements and Exemptions...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 32-501 Subject: Exemption from the dealer registration requirement and the adviser registration requirement in respect of trades and advice for U.S. resident clients Effective Date: August 13...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Local Rule Document No: 33-501 Subject: Permanent Registration Effective Date: March 17, 2008 Local Rule 33-501 Permanent Registration Part 1 Definitions 1.1 In this Rule: “registered firm” means a person that is registered...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Local Rule Document No: 33-502 Subject: Scholarship Plan Dealers - Disclosure of Sales Charges Effective Date: March 17, 2008 Local Rule 33-502 Scholarship Plan Dealers - Disclosure of Sales Charges Part 1 Definitions 1.1...
In the matter of the Securities Act R.S.P.E.I. 1988, Cap. S-3.1 - and - In the matter of Calls to Residences by Registrants - Cold Calling Whereas: The Prince Edward Island Securities Office, having considered that to do so would not be prejudicial to the public interest, makes...
In the matter of the Securities Act R.S.P.E.I. 1988, CAP. S-3.1 - and - In the matter of Registration Exemption Enabling a Corporation of an Individual Registrant of a Mutual Fund Dealer or Investment Dealer to Receive Directed Sales Commissions or Fees Whereas: A commission or...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 33-802 Subject: Regulation of Certain Registrant Activities Effective Date: March 17, 2008 Rule 33-802 Implementing National Instrument 33-102 Regulation of Certain Registrant Activities...