Unofficial Consolidation: OSC Rule 31-505 Conditions Of Registration

Unofficial Consolidation: OSC Rule 31-505 Conditions Of Registration

Unofficial Consolidation
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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Part 1 [Repealed]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

Part 3 [Repealed]

Part 4 Exemption

Exemption

 

 

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[Repealed]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(3)          [Repealed]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[Repealed]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.