for "office superintendent securities"
Proceedings / Motions: Paul Edward Maines / Capital Markets Technologies, Inc. / 7645686 Canada Inc. Notice of Hearing Notice of Preliminary Motion Procedural Direction Notice of Adjournment of Motion Reasons for Adjournment of Motion Notice of Hearing Notice of Adjournment of...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Local Rule Document No: 15-502 Subject: Procedures for Hearings before the Superintendent or before a Delegate of the Superintendent Effective Date: December 22, 2012 Local Rule 15-502 Procedures for Hearings before the...
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: Blanket Order Document No.: 31-516 Subject : Exemption from the Requirement to Register as an Investment Fund Manager Effective Date: July 5, 2012 Blanket Order 31-516 Exemption from the Requirement to Register as an...
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...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Local Rule Document No: 55-501 Subject: Insider Trading Reporting Effective Date: March 17, 2008 Local Rule 55-501 Insider Trading Reporting Part 1 Insider Trading Reports 1.(1) A person who becomes an insider of a...
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...