Certification of associated persons required as an eligibility factor for intermediary registration and renewal under securities regulations. Certification of associated persons is a pre-condition affecting an intermediary's registration: compliance with these regulations will be taken into account by the Board as one of the factors in determining eligibility for grant or renewal of a certificate of registration under the relevant regulations.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Certification of associated persons required as an eligibility factor for intermediary registration and renewal under securities regulations.
Certification of associated persons is a pre-condition affecting an intermediary's registration: compliance with these regulations will be taken into account by the Board as one of the factors in determining eligibility for grant or renewal of a certificate of registration under the relevant regulations.
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