NI 31-103 definition

NI 31-103 means National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations;
NI 31-103 means National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, as amended from time to time;
NI 31-103 means National Instrument 31-103 Registration Requirements and Exemptions;

Examples of NI 31-103 in a sentence

As is currently the case for most ATSs, certain requirements in NI 31-103 and many of the IIROC Dealer Member Rules may not apply to a Marketplace Platform that operates as a trading venue only and does not perform any dealer activities (for example, no custody or retail client on-boarding).

They will be subject to the conflicts of interest provisions such as those in NI 31-103 or NI 21-101, as applicable, and, if they are IIROC members, also subject to the conflicts of interest provisions in IIROC’s Dealer Member Rules and the UMIR.APPENDIX B‌SUMMARY OF IIROC REQUIREMENTS APPLICABLE IN THE CONTEXT OF CTPS Requirements consistent with the core market integrity provisions of UMIR would apply, including:• Part 2 – Abusive Trading including UMIR 2.2 Manipulative and Deceptive Activities.

Dealer Platforms that also create and market derivatives must be qualified by the Autorité des marchés financiers (AMF) before derivatives are offered to the public.4We recognize that some of the requirements under securities legislation including, as applicable, National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) or the IIROC Dealer Member Rules may need to be tailored.


More Definitions of NI 31-103

NI 31-103 means National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations.
NI 31-103 means National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Relationships;
NI 31-103 means National Instrument 31-103 Registration Requirements and Exemptions.
NI 31-103 means National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations under the Securities Act;
NI 31-103 means National Instrument 31-103 “Registration Requirements, Exemptions and Ongoing Registrant Obligations” promulgated by the Canadian Securities Administrators;
NI 31-103 means National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, as amended;
NI 31-103 means National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations as adopted by the securities regulatory authorities in Canada, as now enacted or as the same may from time to time be amended, re-enacted or replaced.