MEMBER REGULATION. notice

Size: px

Start display at page:

Download "MEMBER REGULATION. notice"

Denis Riley
5 years ago
Views:

1 MEMBER REGULATION notice W. D Silva: wdsilva@ida.ca MR0254 November 26, 2003 ATTENTION: Ultimate Designated Persons Chief Financial Officers Panel Auditors Distribute internally to: Corporate Finance Credit Institutional Internal Audit Legal & Compliance Operations Registration Regulatory Accounting Research Retail Senior Management Trading desk Training IDA Approval Categories and s A detailed Guide to IDA Categories is now available on the Registration Guide Section of the IDA s web site as a reference for members. ( The Registration renewal fees collected by the IDA on December 31, 2003 in the provinces of Alberta and British Columbia will be based on the IDA approval categories recorded on NRD for each individual. To ensure that your firm is not unnecessarily charged a duplicate fee for one individual, please ensure that individuals currently approved with your firm have the appropriate combination of categories where applicable. For example, to register an individual to trade options, it is not necessary to select both Registered Representative (Retail) and Registered. The correct selection is Registered Please also ensure that combined categories are selected where available for any subsequent submissions. The tables on the following page set out those categories for which annual fees are collected. Combinations of registration categories are available to eliminate duplication of fees. When selecting an Approval category, please ensure the categories selected do not incur duplicate annual fees. Members are also encouraged to use the category combinations, to avoid incurring duplicate application fees. For example, to request registration as an RR for both options (Registered Options (Retail)) and futures (Registered Futures Contract Representative Options)), please select the combination of categories: Registered Representative (Retail) and Registered Futures Contract, rather than selecting both categories individually. TORONTO Suite 1600, 121 King Street West, Toronto, Ontario M5H 3T9 Telephone: (416) Fax: (416) CALGARY Suite 2300, 355 Fourth Avenue S.W., Calgary, Alberta T2P 0J1 Telephone: (403) Fax: (403) HALIFAX Suite 1620, TD Centre, 1791 Barrington Street, Halifax, Nova Scotia B3J 3K9 Telephone: (902) Fax: (902) MONTRÉAL Suite 2802, 1 Place Ville Marie, Montréal, Québec, H3B 4R4 Téléphone: (514) Télécopieur: (514) VANCOUVER Suite 1325, P.O. Box 11614, 650 West Georgia Street, Vancouver, B.C. V6B 4N9 Telephone: (604) Fax: (604)

2 November 26, MR0254 British Columbia B.C. - Category Selection Officer (Trading) $225 $225 Officer and Director (Trading) $225 $225 Director (Trading) $225 $225 Partner (trading) $225 $225 Salesperson $225 $225 Compliance Officer $0 $0 Officer (Non-trading) $0 $0 Director (non-trading) $0 $0 Partner (non-trading) $0 $0 Officer and Director (non-trading) $0 $0 Shareholder $0 $0 Partner (Industry) $0 $0 Partner (Non-Industry) $0 $0 Director (Industry) $0 $0 Director (Non-Industry) $0 $0 Officer (Trading) $0 $0 Officer (Non-Trading) $0 $0 Industry Investor $0 $0 Non-Industry Investor $0 $0 Chief Compliance Officer $0 $0 Ultimate Designated Person $0 $0 Alternate Designated Person $0 $0 Designated Registered Options Principal $0 $0 Alternate Registered Options Principal $0 $0 Designated Registered Futures Options Principal $0 $0 Alternate Registered Futures Options Principal $0 $0 Sales Manager $0 $0 Co- Assistant Futures Contract Options Supervisor $0 $0 Investment Representative (Mutual Funds) $25 $25 Investment Representative (Retail) $25 $25 Investment Representative (Retail) and Investment Futures Contract $25 $25 Investment Representative (Non-Retail) $25 $25 Investment Representative (Non-Retail) and Investment Futures Contract Representative Options (Non-Retail) $25 $25 Investment $25 $25 Investment and Investment $25 $25

3 November 26, MR0254 B.C. - Category Selection Futures Contract Investment Representative Options (Non-Retail) $25 $25 Investment Representative Options (Non-Retail) and Investment Futures Contract Representative Options (Non- Retail) $25 $25 Investment Futures Contract $25 $25 Investment Futures Contract Representative Options (Non- Retail) $25 $25 Registered Representative (Mutual Funds) $25 $25 Registered Representative (Retail) $25 $25 Registered Representative (Retail) and Registered Futures Contract $25 $25 Registered Representative (Non-Retail) $25 $25 Registered Representative (Non-Retail) and Registered Futures Contract Representative Options (Non-Retail) $25 $25 Registered $25 $25 Registered and Registered Futures Contract $25 $25 Registered Representative Options (Non-Retail) $25 $25 Registered Representative Options (Non-Retail) and Registered Futures Contract Representative Options (Non-Retail) $25 $25 Registered Futures Contract $25 $25 Registered Futures Contract Representative Options (Non- Retail) $25 $25 Trader - CATS $0 $0 Trader - TradeCDNX $25 $25 Trader - Commodity Floor Trader $0 $0 Associate Portfolio Manager - Securities $0 $0 Associate Portfolio Manager - Security Options $0 $0 Associate Portfolio Manager - Commodity Futures Options $0 $0 Portfolio Manager - Securities $25 $25 Portfolio Manager - Securities and Registered Representative $25 $25 Portfolio Manager - Securities and Registered Representative Options $25 $25 Portfolio Manager - Security Options $25 $25 Portfolio Manager - Security Options and Registered Representative Options $25 $25 Portfolio Manager - Commodity Futures Options $25 $25

4 November 26, MR0254 Alberta Alberta - Category Selection Officer (Trading) $200 $200 Officer (Non-trading) $0 $0 Partner (Trading) $200 $200 Partner (Non-trading) $0 $0 Salesperson $200 $200 Director $0 $0 Shareholder $0 $0 Partner (Industry) $0 $0 Partner (Non-Industry) $0 $0 Director (Industry) $0 $0 Director (Non-Industry) $0 $0 Officer (Trading) $0 $0 Officer (Non-Trading) $0 $0 Industry Investor $0 $0 Non-Industry Investor $0 $0 Chief Compliance Officer $0 $0 Ultimate Designated Person $0 $0 Alternate Designated Person $0 $0 Designated Registered Options Principal $0 $0 Alternate Registered Options Principal $0 $0 Designated Registered Futures Options Principal $0 $0 Alternate Registered Futures Options Principal $0 $0 Sales Manager $0 $0 Co- Assistant Futures Contract Options Supervisor $0 $0 Investment Representative (Mutual Funds) $50 $50 Investment Representative (Retail) $50 $50 Investment Representative (Retail) and Investment Futures Contract $50 $50 Investment Representative (Non-Retail) $50 $50 Investment Representative (Non-Retail) and Investment Futures Contract Representative Options (Non-Retail) $50 $50 Investment $50 $50 Investment and Investment Futures Contract $50 $50 Investment Representative Options (Non-Retail) $50 $50 Investment Representative Options (Non-Retail) and Investment $50 $50

5 November 26, MR0254 Alberta - Category Selection Futures Contract Representative Options (Non-Retail) Investment Futures Contract $50 $50 Investment Futures Contract Representative Options (Non- Retail) $50 $50 Registered Representative (Mutual Funds) $50 $50 Registered Representative (Retail) $50 $50 Registered Representative (Retail) and Registered Futures Contract $50 $50 Registered Representative (Non-Retail) $50 $50 Registered Representative (Non-Retail) and Registered Futures Contract Representative Options (Non-Retail) $50 $50 Registered $50 $50 Registered and Registered Futures Contract $50 $50 Registered Representative Options (Non-Retail) $50 $50 Registered Representative Options (Non-Retail) and Registered Futures Contract Representative Options (Non-Retail) $50 $50 Registered Futures Contract $50 $50 Registered Futures Contract Representative Options (Non- Retail) $50 $50 Trader - CATS $0 $0 Trader - TradeCDNX $0 $0 Trader - Commodity Floor Trader $0 $0 Associate Portfolio Manager - Securities $0 $0 Associate Portfolio Manager - Security Options $0 $0 Associate Portfolio Manager - Commodity Futures Options $0 $0 Portfolio Manager - Securities $50 $50 Portfolio Manager - Securities and Registered Representative $50 $50 Portfolio Manager - Securities and Registered Representative Options $50 $50 Portfolio Manager - Security Options $50 $50 Portfolio Manager - Security Options and Registered Representative Options $50 $50 Portfolio Manager - Commodity Futures Options $50 $50

6 November 26, MR0254 Ontario Members are reminded to refer to OSC Rule which came into effect on March 31, 2003 for instructions on calculating their annual participation fee in Ontario. The annual participation fees under the Rule replace the former renewal process in Ontario. These fees continue to be payable directly to the Ontario Securities Commission. Ontario - Category Selection Registration Partner (Industry) $0 Partner (Non-Industry) $0 Director (Industry) $0 Director (Non-Industry) $0 Officer (Trading) $0 Officer (Non-Trading) $0 Industry Investor $0 Non-Industry Investor $0 Chief Compliance Officer $0 Chief Financial Officer $0 Ultimate Designated Person $0 Alternate Designated Person $0 Designated Registered Options Principal $0 Alternate Registered Options Principal $0 Designated Registered Futures Options Principal $0 Alternate Registered Futures Options Principal $0 Sales Manager $0 Branch Manager $0 Co-Branch Manager $0 Assistant Branch Manager $0 Futures Contract Options Supervisor $0 Investment Representative (Mutual Funds) Investment Representative (Retail) Investment Representative (Retail) and Investment Futures Contract Investment Representative (Non-Retail) Investment Representative (Non-Retail) and Investment Futures Contract Representative Options (Non-Retail) Investment Investment and Investment Futures Contract Investment Representative Options (Non-Retail) Investment Representative Options (Non-Retail) and Investment Futures Contract Representative Options (Non-Retail) Investment Futures Contract $0 Investment Futures Contract Representative Options (Non-Retail) $0

7 November 26, MR0254 Ontario - Category Selection Registration Registered Representative (Mutual Funds) Registered Representative (Retail) Registered Representative (Retail) and Registered Futures Contract Registered Representative (Non-Retail) Registered Representative (Non-Retail) and Registered Futures Contract Representative Options (Non-Retail) Registered Registered and Registered Futures Contract Registered Representative Options (Non-Retail) Registered Representative Options (Non-Retail) and Registered Futures Contract Representative Options (Non-Retail) Registered Futures Contract $0 Registered Futures Contract Representative Options (Non-Retail) $0 Trader - CATS Trader - TradeCDNX $0 Trader - Commodity Floor Trader Associate Portfolio Manager - Securities $0 Associate Portfolio Manager - Security Options $0 Associate Portfolio Manager - Commodity Futures Options $0 Portfolio Manager - Securities Portfolio Manager - Securities and Registered Representative Portfolio Manager - Securities and Registered Representative Options Portfolio Manager - Security Options Portfolio Manager - Security Options and Registered Representative Options Portfolio Manager - Commodity Futures Options $0

bulletin Margin and Capital Requirements for Capital Share and Convertible and Exercisable Security Offsets Regulations 100.4G, 100.4H and 100.

bulletin Margin and Capital Requirements for Capital Share and Convertible and Exercisable Security Offsets Regulations 100.4G, 100.4H and 100. bulletin Contact: For distribution to relevant parties within your firm Answerd Ramcharan Senior Information Analyst BULLETIN #3226 (416) 943-5850 December 11, 2003 By-Laws and Regulations Margin and Capital