Comarm has a team of experts who can assist clients with their ongoing firm and individual registration requirements, as required by National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information and SRO Rules.
Registrations
Registrations
Our Registrations services include:
- Filing amendments to the firm’s Form 33-109F6 Firm Registration
- Conducting a “fit and proper” test on registration applications
- Preparing and filing of all types of individual and firm registration applications
- Assessing registration exemption requests
- Filing firm and individual annual registration renewals
- Acting as Chief Authorized Firm Representative (AFR) and managing the firm’s NRD database