Unofficial Consolidated Versions

Decision Information

Decision Content




(section 2.2 [client mobility exemption – individuals])


This is to notify the securities regulatory authority that the individual named in paragraph 1 is relying on the exemption in section 2.2 [client mobility exemption – individuals] of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.


1.             Individual information


Name of individual: _________________________________________________________________________


NRD number of individual: ______________


The individual is relying on the client mobility exemption in each of the following jurisdictions of Canada:






2.             Firm information


Name of the individual’s sponsoring firm:





NRD number of firm:_________________ 




Dated: ____________________________________



(Signature of an authorized signatory of the individual’s sponsoring firm)



(Name and title of authorized signatory)






 You are being directed to the most recent version of the statute which may not be the version considered at the time of the judgment.