Should They Be On Your Product Shelf? - Robert Ironside

National Instrument 31-103:Dealer Registration Exemption• To rely on the dealer registration exemption, anindividual or firm must:– Not be registered in any category of registration inany jurisdiction– Not provide suitability advice– Not hold or have access to the purchaser’s assets– Provide risk disclosure to the purchaser (in theprescribed form)– File an information report with the securitiesregulatory authority36© 2011 Knowledge Bureau, Inc.