Navigating the complexities of initial or expanded registration can be challenging and time-consuming. AV Compliance Solutions streamlines the process, minimizing delays and errors while ensuring full compliance with regulatory standards.
Whether you're an advisor starting your independent practice and seeking initial registration or an established firm looking to expand into new lines of business, AV Compliance Solutions help eliminate unnecessary hurdles. From adding individual registrations to expanding into new jurisdictions or firm categories, we manage the entire process, allowing you to focus on running your business.
Ensuring your registration includes all jurisdictions in which you wish to operate, regardless of your principal regulator.
Proficiency and Regulatory Exemptions:
If your completed education or experience does not meet the exact requirements under National Instrument 31-103 (NI 31-103), you may qualify for a proficiency exemption by demonstrating equivalent standards.
Firms can also request exemptions, such as waivers for continuous disclosure obligations under National Instrument 81-106 (NI 81-106), tailored to their unique circumstances.
Let us handle the complexities of your registration and exemption needs, ensuring a smooth and efficient process every step of the way.
Services Offered:
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Individual Registration Filing: Ensures all steps for individual registration follow regulatory requirements, prepares and submits Form 33-109F4, manages filings for UDPs, CCOs, and other key roles, and maintains full compliance with NI 31-103.
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Firm Registration Filing: Completes and submits Form 33-109F6, aligns with NI 31-103 standards, and ensures compliance for firms registering under Dealer categories such as mutual fund dealer, investment dealer, and exempt market dealer, or adviser categories like portfolio manager and investment fund manager.
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Compliance Program Setup: Provides support in establishing and implementing a compliance framework, including adapting the firm's Compliance Policy and Procedures Manual to address new product offerings under new registrations. This ensures incorporation of new risks, supervisory requirements, sales practices, and other relevant considerations.
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Extraprovincial Corporate Registration: Prepares and files documents for firms seeking to expand their corporate jurisdictional reach, ensuring submission to the appropriate provincial business registries.
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Exemption Requests: Provides comprehensive support for drafting and submitting exemption letters tailored to specific regulatory requirements. This includes identifying eligibility for exemptions, preparing detailed justifications, and ensuring all supporting documentation aligns with applicable regulatory frameworks to maximize the likelihood of approval.