Examples of NI 31-103 in a sentence
If the Subscriber is a permitted client, within the meaning of such term in NI 31- 103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) [as indicated by the “*” above], the Subscriber hereby waives and releases the Manager from any obligation to conduct, pursuant to section 13.3(4) of NI 31-103, a suitability review with respect to the Subscriber’s investment in the Fund.
Please complete the following information to satisfy the “know your client” requirements of NI 31-103.
The Manager may place a temporary hold on the Account if the Manager believes the client is a vulnerable client, as defined in NI 31-103, AND the Manager reasonably believes financial exploitation of the client has occurred, is occurring, has been attempted or will be attempted.
You represent and warrant to GS&Co. that you are a resident of the province identified in your legal address and are a “Permitted Client” (as defined in Section 1.1 of NI 31-103).
This may be done by [PORTFOLIO MANAGER] receiving a copy of [IIROC DEALER]’s Account statements to Clients or by testing the preparation and delivery practices of [IIROC DEALER]; and ensure that the market value data it uses in the preparation of the Client’s annual investment performance report under Section 14.18 of NI 31-103 is the same as the data presented in the relevant [IIROC DEALER]’s Account statements delivered to the Client.