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Compliance 2026

• Which best describes your experience applying NI 31-103 and applicable Canadian securities requirements to new investment products, technology features, or client/advisor workflows?✱

  Select...A. I have directly assessed regulatory/compliance implications of new products, technology features, or workflows under NI 31-103 and applicable securities legislation, and translated those requirements into policies, controls, restrictions, or product requirements.B. I have significant experience interpreting NI 31-103 and Canadian securities requirements, but have had limited involvement in translating them into product or technology controls.C. I have general Canadian financial-services compliance experience, but limited direct experience with NI 31-103.D. I have not worked directly with NI 31-103 or Canadian securities regulatory requirements.

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