Get 33 109f6 Fillable

Filling out the 33 109f6 Fillable form is a crucial step for firms seeking registration under securities legislation or derivatives legislation in Canada. This guide provides clear, step-by-step instructions to help users complete the form efficiently and accurately.

Follow the steps to successfully complete the 33 109f6 Fillable form.

1. Click the ‘Get Form’ button to obtain the form and open it in your preferred editor.
2. Begin with Part 1, where you will need to provide registration details. Include the full legal name of your firm as it appears on your constating documents.
3. Continue to Part 2, where you will enter contact information. Ensure you include a valid head office address, along with phone and email details.
4. For Part 3, describe your firm's business history and structure. Provide specific details about your primary business activities and any required business documents.
5. In Part 4, outline your registration history over the past seven years, including any previous registrations, memberships, or exemptions.
6. Move to Part 5 to provide financial information. This includes the calculation of excess working capital and details about your firm's financial condition, such as sources of capital and insurance coverage.
7. Part 6 focuses on client relationships; indicate if your firm holds any client assets and describe how you will manage conflicts of interest.
8. In Part 7, disclose any regulatory actions that may have been taken against your firm in the past, providing relevant details for each incident.
9. Part 8 addresses any legal actions. Disclose if there are any outstanding legal issues regarding your firm or its affiliates.
10. Finally, complete Part 9 by certifying the accuracy of the information provided and gathering necessary signatures. Verify all details one last time before submission.
11. After completing all sections, ensure you attach any necessary supporting documents as specified in the instruction and submit your completed form to the relevant regulatory authority.

Start filling out your 33 109f6 Fillable form online today to ensure compliance and successful registration.