Unofficial Consolidation: OSC Rule 31-505 Conditions Of Registration
Unofficial Consolidation: OSC Rule 31-505 Conditions Of Registration
Ontario Securities Commission
Rule 31-505
Unofficial consolidation current to 2009-09-28.
This document is not an official statement of law or policy and should be used for reference purposes only.
Any forms referenced in this document are available separately on the Ontario Securities Commission website.
Ontario Securities Commission Rule 31-505
CONDITIONS OF REGISTRATION
Contents
Part 1
[Repealed]
Part 2
General Duties
General Duties
2.1 (1) A registered dealer or adviser shall deal fairly, honestly and in good faith with its clients.
(2) A representative of a registered dealer or registered adviser shall deal fairly, honestly and in good faith with his or her clients.
(3) [Repealed]
Part 3
[Repealed]
Part 4
Exemption
Exemption
4.1 The Director may grant an exemption to this Rule, in whole or in part, subject to such conditions or restrictions as may be imposed in the exemption.