National Financial Services LLC

March 31, 2020


Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 1(1), 19, 19(1), 19(2), 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, ss. 4.7, 4.7(1).
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 1.1, 8.5, 8.18, 8.18(2), 8.21, Form 31-103F1 Calculation of Excess Working Capital.
  • National Instrument 81-102 Investment Funds, Part 6.
  • Ontario Securities Commission Rule 13-502 Fees.