32-501 – Deposit Agents (Local Instrument)

32-501 – Deposit Agents (Local Instrument)

• Deposit Agents

  Effective Date: January 1, 2006.

  Operation suspended by GRO 32-801.

  Requires intermediaries who trade in guaranteed investment certificates to be registered.  Also imposes reporting requirements on financial institutions.

  32_501_li_january_1_2006.pdf
• Submission to Jurisdiction32_501a.pdf
• Undertaking to Provide Information32_501b.pdf
• Disclosure Statement to New Clients 32_501c.pdf
• Form 32-501F1 Report by Mutual Fund Dealer pursuant to clause 4(d)32_501_f1.pdf
• Form 32-501F2 Application for Registration as a Deposit Agent32_501_f2.pdf
• Form 32-501F3 Salespersons and Officials Application for Registration32_501_f3.pdf
• Form 32-501F4 Deposit Agent Annual Report32_501_f4.pdf
• Form 32-501F5 Auditor32_501_f5.pdf
• Form 32-501F6 Financial Institution Annual Report32_501_f6.pdf