Certification compliance guides intermediary registration eligibility and renewal under applicable securities-market regulatory frameworks for specified persons. Certification compliance by specified persons constitutes a factor in assessing an intermediary's eligibility for the grant or renewal of a certificate of ... Summary
Certification compliance guides intermediary registration eligibility and renewal under applicable securities-market regulatory frameworks for specified persons.
Certification compliance by specified persons constitutes a factor in assessing an intermediary's eligibility for the grant or renewal of a certificate of registration. Compliance with certification requirements is taken into account when determining whether eligibility criteria for intermediary registration are satisfied. The expression "specified persons" replaces "associated persons" from the stated effective date.
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