{
 "node": "ca-cm-kg",
 "door": "https://mcp.ca-cm-kg.ai",
 "market": "ca",
 "jurisdiction_namespace": "ca-eco-10060",
 "chapter": "ca.chapter.v14",
 "source": "Book of Markets mirror (allooloocmkgapex/book), read at request time",
 "kind": "book-section",
 "family": "ECO",
 "version": "ca.eco.v6",
 "supersedes": "ca.eco.v5",
 "book_path": "ca/sections/ca.eco.v6.json",
 "book_sha256": "sha256:878231c56475ac0eca9ea84cfc46469589caf8e1c15d63186043380d47211300",
 "section": {
  "section_id": "book:ca:eco",
  "family": "ECO",
  "schema": "SM-ECO-10060 canonical text v1.0 (2026-10-30) · chapter schema v0.1 (unratified) · Appendix A",
  "schema_version": "0.1",
  "version": "ca.eco.v6",
  "supersedes": "ca.eco.v5",
  "market": "ca",
  "node": "ca-cm-kg",
  "produced_at": "2026-10-31T01:45:37Z",
  "observed": {
   "earliest_read": "2026-10-23",
   "latest_read": "2026-10-31T01:45:27Z"
  },
  "fields": [
   {
    "name": "jurisdiction_scope",
    "value": {
     "regime": "National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, as interpreted by the Canadian Securities Administrators",
     "delivery_of_notices": "registrants must deliver all disclosure and notices required under NI 31-103 to the registrant's principal regulator",
     "cross_border_exception": "does not apply to notices under sections 8.18 [international dealer] and 8.26 [international adviser]; these notices go to the regulator in each jurisdiction where they are registered or relying on an exemption from registration"
    },
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/en/about-us",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://mcp.getissuer.ai/mcp",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf"
    ],
    "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
    "source_date": "June 6, 2022"
   },
   {
    "name": "competent_authorities",
    "value": "Ontario Securities Commission (OSC) - 'an independent Crown agency that regulates Ontario's capital markets'. Canada has no single national securities regulator; provincial/territorial regulators act together as the Canadian Securities Administrators (CSA), whose own site could not be read (see notes)",
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://www.osc.ca/en/about-us"
    ],
    "source_url": "https://www.osc.ca/en/about-us"
   },
   {
    "name": "duty_map",
    "value": [
     {
      "duty": "KYP (Know Your Product), NI 31-103"
     }
    ],
    "read_at": "2026-10-30T21:17:22Z",
    "pages_checked": [
     "https://mcp.getissuer.ai/mcp"
    ],
    "source_url": "https://mcp.getissuer.ai/mcp"
   },
   {
    "name": "regulated_activities",
    "value": [
     {
      "activity": "in the business of trading"
     },
     {
      "activity": "in the business of advising"
     },
     {
      "activity": "holding themselves out as being in the business of trading or advising"
     },
     {
      "activity": "acting as an underwriter"
     },
     {
      "activity": "acting as an investment fund manager"
     }
    ],
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/en/about-us",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://mcp.getissuer.ai/mcp",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf"
    ],
    "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
    "source_date": "June 6, 2022"
   },
   {
    "name": "participant_categories",
    "value": [
     {
      "category": "registered firm",
      "definition": "a registered dealer, a registered adviser, or a registered investment fund manager"
     }
    ],
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/en/about-us",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://mcp.getissuer.ai/mcp",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf"
    ],
    "source_url": "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf",
    "source_date": "January 11, 2015"
   },
   {
    "name": "product_categories",
    "value": [
     {
      "class": "securities",
      "special_regime": "In Alberta, British Columbia, New Brunswick and Saskatchewan, a reference to securities includes exchange contracts, unless the context otherwise requires"
     }
    ],
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/en/about-us",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://mcp.getissuer.ai/mcp",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf"
    ],
    "source_url": "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf",
    "source_date": "January 11, 2015"
   },
   {
    "name": "issuer_and_listing_scope",
    "value": {
     "securities_issuer": "an entity that issues or trades in its own securities",
     "prospectus": "Securities issuers that are distributing securities are subject to the prospectus requirements unless an exemption is available"
    },
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150111_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/en/about-us",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://mcp.getissuer.ai/mcp",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf"
    ],
    "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
    "source_date": "June 6, 2022"
   },
   {
    "name": "exchanges_and_venues",
    "value": [
     {
      "name": "Toronto Stock Exchange (TSX)",
      "listings_page": "https://www.tsx.com/en/listings/current-market-statistics"
     },
     {
      "name": "TSX Venture Exchange (TSXV) - growth market",
      "listings_page": "https://www.tsx.com/en/listings/current-market-statistics"
     }
    ],
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://www.tsx.com/en/listings",
     "https://www.tsx.com/en/listings/current-market-statistics"
    ],
    "source_url": "https://www.tsx.com/en/listings"
   },
   {
    "name": "information_stores",
    "value": "SEDAR+ - 'the new, secure web-based system used by all market participants to file, disclose and search' (CSA system, launched July 25, 2023, replaced SEDAR)",
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/"
    ],
    "source_url": "https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/"
   },
   {
    "name": "store_lookup",
    "value": "SEDAR+ public access (no account): search issuer profiles ('Contains'/'Starts with'), search and download documents by profile and document type/date range (30 documents at a time, CSV export), reporting issuers list, cease trade order search",
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/search-sedar/search-and-download-documents/"
    ],
    "source_url": "https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/"
   },
   {
    "name": "periodic_reporting",
    "value": [
     {
      "report": "Annual financial statements - NI 51-102 s.4.2",
      "deadline": "Issuer other than a venture issuer: on or before the earlier of the 90th day after the end of its most recently completed financial year and the date of filing in a foreign jurisdiction; venture issuer: the 120th day (same foreign-filing alternative)"
     },
     {
      "report": "Interim financial report - NI 51-102 s.4.4",
      "deadline": "Issuer other than a venture issuer: on or before the earlier of the 45th day after the end of the interim period and foreign-filing date; venture issuer: the 60th day"
     },
     {
      "report": "Annual information form (AIF)",
      "deadline": "A company that is not a venture issuer must file an AIF every year, usually 90 days after the end of the company's most recent financial year"
     }
    ],
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf",
     "https://www.osc.ca/en/industry/companies/continuous-disclosure"
    ],
    "source_url": "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf"
   },
   {
    "name": "ad_hoc_disclosure",
    "value": "NI 51-102 Part 7: if a material change occurs the reporting issuer must (a) 'immediately issue and file a news release authorized by an executive officer disclosing the nature and substance of the change' and (b) 'as soon as practicable, and in any event within 10 days of the date on which the change occurs, file a Form 51-102F3 Material Change Report'; confidential filing permitted under s.7.1(2)",
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf",
     "https://www.osc.ca/en/industry/companies/continuous-disclosure"
    ],
    "source_url": "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf"
   },
   {
    "name": "filing_formats",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:23Z",
    "pages_checked": [
     "https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://docs.mbsecurities.ca/msc/notices/en/102639/1/document.do",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/search-sedar/search-and-download-documents/",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf",
     "https://www.osc.ca/en/industry/companies/continuous-disclosure",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf"
    ]
   },
   {
    "name": "filing_languages",
    "value": "NI 51-102 s.3.1: 'A person or company must file a document required to be filed under this Instrument in French or in English'; if filed in one language only but delivered to securityholders in the other, the other version must be filed no later than first delivery; in Quebec, linguistic obligations apply",
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf"
    ],
    "source_url": "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf"
   },
   {
    "name": "prospectus_regime",
    "value": [
     {
      "requirement": "Securities issuers that are distributing securities are subject to the prospectus requirements unless an exemption is available."
     },
     {
      "requirement": "Regulators have the discretionary authority to require an underwriter for a prospectus distribution."
     }
    ],
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://docs.mbsecurities.ca/msc/notices/en/102639/1/document.do",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/search-sedar/search-and-download-documents/",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf",
     "https://www.osc.ca/en/industry/companies/continuous-disclosure",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf"
    ],
    "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
    "source_date": "June 6, 2022"
   },
   {
    "name": "product_disclosures",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://docs.mbsecurities.ca/msc/notices/en/102639/1/document.do",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/search-sedar/search-and-download-documents/",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf",
     "https://www.osc.ca/en/industry/companies/continuous-disclosure",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf"
    ],
    "conflict": {
     "values": [
      {
       "value": [
        {
         "duties": [
          "14.2 relationship disclosure information",
          "14.2.1 pre-trade disclosure of charges"
         ],
         "exception": "registrants do not have to provide certain disclosures or reports to a permitted client that is not an individual"
        }
       ],
       "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
       "quote": "Under sections 14.2, 14.2.1, 14.14.1, 14.14.2, 14.17 and 14.18, registrants do not have to provide certain disclosures or reports to a permitted client that is not an individual.",
       "source_date": "June 6, 2022"
      }
     ],
     "reason": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the exemption under sections 14.2, 14.2.1, and others for permitted clients that are **not individuals**, but the claimed value does not explicitly specify the \"not an in",
     "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)"
    }
   },
   {
    "name": "takeover_regime",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:25Z",
    "pages_checked": [
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://fcnb.ca/sites/default/files/2020-02/31-103-NI-CONS-2019-06-12-E.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants"
    ]
   },
   {
    "name": "ownership_reporting",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:25Z",
    "pages_checked": [
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://fcnb.ca/sites/default/files/2020-02/31-103-NI-CONS-2019-06-12-E.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants"
    ]
   },
   {
    "name": "short_selling",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:25Z",
    "pages_checked": [
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://fcnb.ca/sites/default/files/2020-02/31-103-NI-CONS-2019-06-12-E.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants"
    ]
   },
   {
    "name": "market_abuse",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:25Z",
    "pages_checked": [
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://fcnb.ca/sites/default/files/2020-02/31-103-NI-CONS-2019-06-12-E.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants"
    ]
   },
   {
    "name": "trading_controls",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:25Z",
    "pages_checked": [
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://fcnb.ca/sites/default/files/2020-02/31-103-NI-CONS-2019-06-12-E.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants"
    ]
   },
   {
    "name": "market_calendar",
    "value": "TSX/TSXV calendar of Canadian and US holidays (2026 and 2025 shown) and early closes, e.g. Thu Dec 24 2026 closes 1:00 PM; Thanksgiving Mon Oct 12 2026; In lieu of Boxing Day Mon Dec 28 2026",
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://www.tsx.com/en/trading/calendars-and-trading-hours/calendar"
    ],
    "source_url": "https://www.tsx.com/en/trading/calendars-and-trading-hours/calendar"
   },
   {
    "name": "halts_sources",
    "value": "TSX 'Reviews and Suspensions' notice log (TSX delisting reviews and TSX trading suspensions); page does not use the word halts and is a notice history, not a live halt board",
    "read_at": "2026-10-23",
    "pages_checked": [
     "http://tsx.com/en/news/reviews-and-suspensions"
    ],
    "source_url": "http://tsx.com/en/news/reviews-and-suspensions"
   },
   {
    "name": "identifiers",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:25Z",
    "pages_checked": [
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://fcnb.ca/sites/default/files/2020-02/31-103-NI-CONS-2019-06-12-E.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-336/csa-staff-notice-31-336-guidance-portfolio-managers-exempt-market-dealers-and-other-registrants"
    ]
   },
   {
    "name": "isin_prefix",
    "value": {
     "prefix": "CA",
     "example": "CA0089117034 (Air Canada Inc - Class A Shares)",
     "designation_rules": {
      "equity_issues": "the country where the entity is incorporated",
      "domestic_debt_issues": "the country where the lead manager is located",
      "international_debt_issues": "the country where the Central Securities Depository is located"
     },
     "local_identifier": "A CUSIP or CINS identifier will always appear in positions 3-11 of a CGS ISIN."
    },
    "read_at": "2026-10-31T01:31:38Z",
    "pages_checked": [
     "https://www.cusip.com/identifiers.html",
     "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150825_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103"
    ],
    "source_url": "https://www.cusip.com/identifiers.html",
    "source_date": "January 1, 2025"
   },
   {
    "name": "lei_requirements",
    "value": "LEI = 20-character ISO 17442 code issued by GLEIF-accredited LEI Issuers (Local Operating Units); searchable in the Global LEI Index. No Canada-specific LEI issuer or requirement read on an official page",
    "read_at": "2026-10-23",
    "pages_checked": [
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei"
    ],
    "source_url": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei"
   },
   {
    "name": "settlement",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:25Z",
    "pages_checked": [
     "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
     "https://www.cusip.com/identifiers.html",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150825_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103"
    ]
   },
   {
    "name": "clearing_and_custody",
    "value": [
     {
      "framework": "CDSX, the CDS clearing and depository system",
      "detail": "ISIN Eligibility service enables eligibility assessment and acceptance of marketable securities within CDSX; ISIN Issuance and Eligibility both required for securities held on deposit with CDS"
     },
     {
      "framework": "Dematerialization",
      "detail": "Since 2017, CDS is no longer accepting physical certificates for new securities issues coming to market."
     },
     {
      "framework": "Qualified custodian requirement (NI 31-103 s.14.5.2)",
      "detail": "Under paragraph 14.5.2(7)(d), registered firms are not required to ensure that cash or securities of permitted clients, that are not individuals or investment funds, are held with a qualified custodian if the permitted client has acknowledged in writing"
     }
    ],
    "read_at": "2026-10-31T01:45:25Z",
    "pages_checked": [
     "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
     "https://www.cusip.com/identifiers.html",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150825_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103"
    ],
    "source_url": "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
    "source_date": "March 1, 2017"
   },
   {
    "name": "corporate_actions",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:26Z",
    "pages_checked": [
     "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
     "https://www.cusip.com/identifiers.html",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150825_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103"
    ]
   },
   {
    "name": "retail_access",
    "value": [
     {
      "rule": "Permitted client threshold – individuals (paragraph (o))",
      "detail": "an individual who beneficially owns financial assets with an aggregate realizable value that exceeds $5 million, before taxes but net of any related liabilities"
     },
     {
      "rule": "Permitted client threshold – entities (paragraph (q))",
      "detail": "a person or company that has net assets of at least $25 million, as shown on its last financial statements"
     },
     {
      "rule": "Suitability waiver",
      "detail": "Under section 13.3.1, permitted clients may waive their right to have a registrant determine that a trade is suitable."
     },
     {
      "rule": "Bright-line standards",
      "detail": "Investors who do not satisfy these thresholds do not qualify as permitted clients under the applicable paragraph."
     }
    ],
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
     "https://www.cusip.com/identifiers.html",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150825_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103"
    ],
    "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
    "source_date": "June 6, 2022"
   },
   {
    "name": "cross_border_access",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
     "https://www.cusip.com/identifiers.html",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150825_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103"
    ],
    "conflict": {
     "values": [
      {
       "value": [
        {
         "rule": "International dealer (s.8.18) and international adviser (s.8.26) exemptions",
         "detail": "exempt international dealers and international advisers from the registration requirement if they deal with certain permitted clients and meet certain other conditions"
        },
        {
         "rule": "Notices under 8.18 and 8.26",
         "detail": "Registrants must deliver these notices to the regulator in each jurisdiction where they are registered or relying on an exemption from registration."
        }
       ],
       "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
       "quote": "Sections 8.18 and 8.26 exempt international dealers and international advisers from the registration requirement if they deal with certain permitted clients and meet certain other conditions.",
       "source_date": "June 6, 2022"
      }
     ],
     "reason": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly confirms that Sections 8.18 and 8.26 exempt international dealers and international advisers from registration requirements when dealing with permitted clients and me",
     "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)"
    }
   },
   {
    "name": "tax_at_source",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:27Z",
    "pages_checked": [
     "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
     "https://www.cusip.com/identifiers.html",
     "https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20150825_31-103_unofficial-consolidated.pdf",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://www.asc.ca/securities-law-and-policy/regulatory-instruments/31-103",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103"
    ]
   },
   {
    "name": "fees_and_levies",
    "value": [
     {
      "term": "transaction charge",
      "definition": "any amount charged to a client by a registered firm in respect of a purchase or sale of a security and includes any federal, provincial or territorial sales taxes paid on that amount"
     },
     {
      "term": "operating charge",
      "definition": "any amount charged to a client by a registered firm in respect of the operation, transfer or termination of a client's account and includes any federal, provincial or territorial sales taxes paid on that amount"
     },
     {
      "term": "direct investment fund charge",
      "definition": "an amount charged to a client if the client buys, holds, sells or switches securities of an investment fund, including any federal, provincial or territorial sales taxes paid on that amount, other than, for greater certainty, an amount included in the investment fund's fund expenses"
     }
    ],
    "read_at": "2026-10-31T01:45:27Z",
    "pages_checked": [
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-June-16-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-January-30-2026.pdf?dt=20260202163723",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/en/registrant-and-market-regulation/registrant-toolkit/client-focused-reforms"
    ],
    "source_url": "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
    "source_date": "January 1, 2026"
   },
   {
    "name": "conduct_and_conflicts",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:20Z",
    "pages_checked": [
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-June-16-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-January-30-2026.pdf?dt=20260202163723",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/en/registrant-and-market-regulation/registrant-toolkit/client-focused-reforms"
    ],
    "conflict": {
     "values": [
      {
       "value": [
        {
         "duty": "present disclosure information to clients in a clear and meaningful manner; consistent with the obligation to deal fairly, honestly and in good faith with clients"
        },
        {
         "duty": "A registered firm is responsible for the conduct of the individuals whose registration it sponsors"
        },
        {
         "duty": "registered firm has an ongoing obligation to monitor, supervise and train its registered individuals in an effective manner"
        }
       ],
       "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
       "quote": "These requirements are consistent with the obligation to deal fairly, honestly and in good faith with clients.",
       "source_date": "June 6, 2022"
      }
     ],
     "reason": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly supports the first claimed duty (\"present disclosure information to clients in a clear and meaningful manner\") and ties it to the obligation to deal fairly, honestly, a",
     "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)"
    }
   },
   {
    "name": "recordkeeping",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:27Z",
    "pages_checked": [
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-June-16-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-January-30-2026.pdf?dt=20260202163723",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/en/registrant-and-market-regulation/registrant-toolkit/client-focused-reforms"
    ]
   },
   {
    "name": "complaints_and_redress",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:27Z",
    "pages_checked": [
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-June-16-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-January-30-2026.pdf?dt=20260202163723",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/en/registrant-and-market-regulation/registrant-toolkit/client-focused-reforms"
    ]
   },
   {
    "name": "effective_changes",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:27Z",
    "pages_checked": [
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-June-16-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-January-30-2026.pdf?dt=20260202163723",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/en/registrant-and-market-regulation/registrant-toolkit/client-focused-reforms"
    ],
    "conflict": {
     "values": [
      {
       "value": [
        {
         "status": "enacted (CSA Notice of Amendments)",
         "title": "Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities",
         "date": "October 8, 2026"
        },
        {
         "status": "proposed (Request for Comment)",
         "title": "Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities",
         "date": "June 26, 2025"
        },
        {
         "status": "enacted (CSA Notice of Amendments)",
         "title": "The Principal Distributor Model",
         "date": "June 11, 2026"
        },
        {
         "status": "Notice of Ministerial Approval",
         "title": "Amendments to NI 31-103, NI 81-101, NI 81-102 and NI 81-105",
         "date": "August 20, 2026"
        },
        {
         "status": "proposed (Request for Comment)",
         "title": "Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service",
         "date": "November 30, 2023"
        }
       ],
       "source_url": "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
       "quote": "CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities",
       "source_date": "October 8, 2026"
      }
     ],
     "reason": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the **enacted** status of the \"Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities\" with a date of **October 8, 2026**, and the **Noti",
     "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)"
    }
   },
   {
    "name": "additional_duty_fields",
    "value": "not_found",
    "read_at": "2026-10-31T01:45:27Z",
    "pages_checked": [
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-June-16-2026.pdf",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-3/31103-NI-January-30-2026.pdf?dt=20260202163723",
     "https://www.osc.ca/en/securities-law/instruments-rules-policies/3/31-103/unofficial-consolidation-companion-policy-31-103cp-registration-requirements-exemptions-and-1",
     "https://www.osc.ca/sites/default/files/pdfs/irps/ni_20171204_31-103_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-01/31-103-CONS-CP-2026-01-01_0.pdf",
     "https://www.osc.ca/sites/default/files/2020-09/ni_20180604_31-103cp_unofficial-consolidation.pdf",
     "https://fcnb.ca/sites/default/files/2026-05/31-103-CONS-NI-2026-01-01-E_0.pdf",
     "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf",
     "https://www.asc.ca/en/registrant-and-market-regulation/registrant-toolkit/client-focused-reforms"
    ]
   }
  ],
  "seed": {
   "note": "seed v1 (BOOK-01): the twelve node-page fields and the apex duty line carried in as values with their source URLs and read dates — evidence kept, shape reset; every other field not_found with pages_checked empty (not yet read; BOOK-02)",
   "node_record": {
    "url": "https://ca-eco.ai/eco.json",
    "read_at": "2026-10-30T21:17:22Z",
    "sha256": "3469faf9adde0b40baaf5de5c54f2670100d2b339794b3453df3486129d699cc",
    "kid": "allooloo-eco-2026-10",
    "hunted": "2026-10-23",
    "schema": "allooloo-eco/1.0",
    "pages_checked": [
     "https://www.osc.ca/en/about-us (WebFetch 403; read via curl)",
     "https://www.osc.ca/en/industry/companies/continuous-disclosure (WebFetch 403; read via curl)",
     "https://www.osc.ca/sites/default/files/2024-04/ni_20230609_51-102_unofficial-consolidation.pdf (403)",
     "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf",
     "https://www.sedarplus.ca/ (403)",
     "https://www.sedarplus.ca/landingpage/ (403)",
     "https://www.securities-administrators.ca/ , /about/ , /en/ (307 redirect loops, unreadable)",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/search-sedar/search-and-download-documents/",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/",
     "https://systems.securities-administrators.ca/onlinehelp/general-help/sedar-rule-and-forms/sedar-rules/",
     "https://www.tsx.com/en/listings",
     "https://www.tsx.com/en/listings/current-market-statistics",
     "https://www.tsx.com/en/trading/calendars-and-trading-hours/calendar",
     "https://tsx.com/en/resource/429 (PDF, not read)",
     "http://tsx.com/en/news/reviews-and-suspensions",
     "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services",
     "https://www.cusip.com/identifiers.html",
     "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei"
    ],
    "notes": "OSC pages blocked the WebFetch tool (403) and were read directly with curl; they are the OSC's own pages. The CSA umbrella site could not be read. Deadlines are for NI 51-102 as consolidated June 9, 2023 on the BCSC site; OSC's current page restates the same 90/120 and 45/60 day figures. Other provinces (BCSC, ASC, AMF) not individually sourced. Filing format (structured data / XBRL) not stated on any page read."
   },
   "duty_line": {
    "source": "https://mcp.getissuer.ai/mcp",
    "list_nodes_read_at": "2026-10-30T21:17:22Z"
   },
   "source_notes": {
    "regulator": {
     "url": "https://www.osc.ca/en/about-us",
     "source": "https://www.osc.ca/en/about-us",
     "state": "sourced"
    },
    "exchanges": {
     "source": "https://www.tsx.com/en/listings ; https://www.tsx.com/en/listings/current-market-statistics (monthly lists of all TSX and TSXV issuers; directory at /en/listings/listing-with-us/listed-company-directory)",
     "state": "sourced"
    },
    "regulated_information_store": {
     "url": "https://www.sedarplus.ca/",
     "source": "https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/",
     "state": "sourced"
    },
    "periodic_disclosure": {
     "source": "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf (NI 51-102 unofficial consolidation, effective June 9, 2023) ; https://www.osc.ca/en/industry/companies/continuous-disclosure",
     "state": "sourced"
    },
    "ad_hoc_regime": {
     "source": "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf ; https://www.osc.ca/en/industry/companies/continuous-disclosure",
     "state": "sourced"
    },
    "filing_format": {
     "state": "not found",
     "checked": [
      "https://systems.securities-administrators.ca/onlinehelp/general-help/sedar-rule-and-forms/sedar-rules/ (only says NI 13-103 requires electronic format)",
      "https://systems.securities-administrators.ca/onlinehelp/general-help/search-sedar/search-and-download-documents/ (format not stated)",
      "https://www.sedarplus.ca/ (403)"
     ]
    },
    "isin_prefix": {
     "state": "sourced",
     "source": "https://www.cusip.com/identifiers.html ; https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services ; https://www.asc.ca/-/media/ASC-Documents-part-1/Regulatory-Instruments/2026/01/6258977v1-31-103-CP-Consolidation-Eff-January-1-2026.pdf",
     "url": "https://www.cusip.com/identifiers.html",
     "read_by": "BOOK-02 BOOK02-20261031"
    },
    "lei": {
     "url": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "source": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei",
     "state": "sourced"
    },
    "market_calendar": {
     "url": "https://www.tsx.com/en/trading/calendars-and-trading-hours/calendar",
     "source": "https://www.tsx.com/en/trading/calendars-and-trading-hours/calendar",
     "state": "sourced"
    },
    "filing_languages": {
     "source": "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf",
     "state": "sourced"
    },
    "trading_halts_page": {
     "url": "https://tsx.com/en/news/reviews-and-suspensions",
     "source": "http://tsx.com/en/news/reviews-and-suspensions",
     "state": "sourced"
    },
    "store_lookup_url": {
     "url": "https://www.sedarplus.ca/",
     "source": "https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/ ; https://systems.securities-administrators.ca/onlinehelp/general-help/search-sedar/search-and-download-documents/",
     "state": "sourced"
    }
   },
   "revision": "evidence (2026-10-30): every key the node record carried beside each value, and the record-level pages_checked and notes, kept so the page generator rebuilds the record from the Book byte for byte; values unchanged"
  },
  "source_hashes": {
   "http://tsx.com/en/news/reviews-and-suspensions": {
    "hash": "sha256:dc394e799c9b11891beeb65514597920626aac618147139a9b90e9b7b1544a19",
    "status": 200,
    "read_at": "2026-10-30T21:17:26Z"
   },
   "https://systems.securities-administrators.ca/onlinehelp/general-help/about-sedar-plus/": {
    "hash": "sha256:17d3daf3b527bba32ed816042cc8f4b4d619d20d813163ef10fb14d52ec9886f",
    "status": 200,
    "read_at": "2026-10-30T21:17:33Z"
   },
   "https://systems.securities-administrators.ca/onlinehelp/general-help/getting-started/general-public-access/": {
    "hash": "sha256:c768343db3f7996624de4e4a16277b01c37976c02f4a72f0c3f3a62173cedc28",
    "status": 200,
    "read_at": "2026-10-30T21:17:33Z"
   },
   "https://systems.securities-administrators.ca/onlinehelp/general-help/search-sedar/search-and-download-documents/": {
    "hash": "sha256:3d8a017c5f5e047c3e7fb0de78d40519343ec1b9455fb6f8e44b03714e42038e",
    "status": 200,
    "read_at": "2026-10-30T21:17:33Z"
   },
   "https://systems.securities-administrators.ca/onlinehelp/general-help/sedar-rule-and-forms/sedar-rules/": {
    "hash": "sha256:7a4f51286cdc7c1212276b7f40f4f52c658de6ece6427e4f25fc730df8afab1c",
    "status": 200,
    "read_at": "2026-10-30T21:17:33Z"
   },
   "https://www.bcsc.bc.ca/-/media/PWS/New-Resources/Securities-Law/Instruments-and-Policies/Policy-5/51102-NI-July-25-2023.pdf": {
    "hash": "sha256:def05843fcd75977e1967b70a037859ac88f2e8294d98360e7c2ef8e0575ca1d",
    "status": 200,
    "read_at": "2026-10-30T21:17:36Z"
   },
   "https://www.cds.ca/issuers/issuer-services/isin-issuance-and-isin-eligibility-services": {
    "hash": "sha256:d5a417ecd095c1abbd655536955fcde5151580bc6be8f58649dd0c4c8efd4fcb",
    "status": 200,
    "read_at": "2026-10-30T21:17:39Z"
   },
   "https://www.cusip.com/identifiers.html": {
    "hash": "sha256:879bf2345cf7315d659d1b7f3acdda29ad960172b2326f55101835fabcede5d9",
    "status": 200,
    "read_at": "2026-10-30T21:17:42Z"
   },
   "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei": {
    "hash": "sha256:351aa08f12cada2927b78e934a8d7c7923d06804ffe272a03d3f143dfa8ab3f2",
    "status": 200,
    "read_at": "2026-10-30T21:17:47Z"
   },
   "https://www.osc.ca/en/about-us": {
    "hash": "sha256:54f9db0eb07876d642ad9ca8897852678c23eabcfecda666b878971fce145cc0",
    "status": 200,
    "read_at": "2026-10-30T21:17:54Z"
   },
   "https://www.osc.ca/en/industry/companies/continuous-disclosure": {
    "hash": "sha256:ef28b90f7e064c8b951bb313316826666e2becdd36a7917368fed166031b8d89",
    "status": 200,
    "read_at": "2026-10-30T21:17:55Z"
   },
   "https://www.sedarplus.ca/": {
    "hash": "sha256:75e5e18f190381976bc82f230ecb536f2def452598f9b3814b3b30bb77493083",
    "status": 200,
    "read_at": "2026-10-30T21:17:59Z"
   },
   "https://www.tsx.com/en/listings": {
    "hash": "sha256:743ccaf533c2c279fa2d5b0847d4249c4ea74432bc0ce6ffce6f33ca81bce115",
    "status": 200,
    "read_at": "2026-10-30T21:18:02Z"
   },
   "https://www.tsx.com/en/listings/current-market-statistics": {
    "hash": "sha256:56b84b28e2f94a8ae72ed8860da750217a0d5eaa72fd77ade42e341525affa6f",
    "status": 200,
    "read_at": "2026-10-30T21:18:02Z"
   },
   "https://www.tsx.com/en/trading/calendars-and-trading-hours/calendar": {
    "hash": "sha256:f973b3323b76ca3721eb0df3cbd0521cf1fa4c14a6eab20e00184c8a1a9c46c3",
    "status": 200,
    "read_at": "2026-10-30T21:18:02Z"
   }
  },
  "reading": {
   "run": "reads/BOOK02-20261031",
   "order": "BOOK-02 (2026-10-30)",
   "read_at": "2026-10-31T01:29:48Z",
   "engines": {
    "search": "perplexity sonar",
    "reader": "claude-opus-5-5",
    "review": "mistral-large-latest (review-only)"
   },
   "pages": {
    "https://www.osc.ca/sites/default/files/2022-04/cp_20220105_31-103CP_unofficial-consolidation.pdf": {
     "status": 200,
     "sha256": "sha256:b2446d973ffbf9d4de24b29157201204ee1652b115825ca57091ccac8da3af2c",
     "read_at": "2026-10-31T01:30:05Z",
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    "inferred": 0,
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   },
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    "jurisdiction_scope": "verified · date on-page (reader)",
    "competent_authorities": "verified but undated — the source bears no date (order: source_date or not_found)",
    "duty_map": "verified · date on-page (reader)",
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    "filing_languages": "verified · date on-page (reader)",
    "prospectus_regime": "verified · date on-page (reader)",
    "product_disclosures": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the exemption under sections 14.2, 14.2.1, and others for permitted clients that are **not individuals**, but the claimed value does not explicitly specify the \"not an in",
    "takeover_regime": "not stated on the pages read",
    "ownership_reporting": "not stated on the pages read",
    "short_selling": "not stated on the pages read",
    "market_abuse": "not stated on the pages read",
    "trading_controls": "not stated on the pages read",
    "market_calendar": "not stated on the pages read",
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    "corporate_actions": "not stated on the pages read",
    "retail_access": "verified · date on-page (reader)",
    "cross_border_access": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly confirms that Sections 8.18 and 8.26 exempt international dealers and international advisers from registration requirements when dealing with permitted clients and me",
    "tax_at_source": "not stated on the pages read",
    "fees_and_levies": "verified · date on-page (reader)",
    "conduct_and_conflicts": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly supports the first claimed duty (\"present disclosure information to clients in a clear and meaningful manner\") and ties it to the obligation to deal fairly, honestly, a",
    "recordkeeping": "not stated on the pages read",
    "complaints_and_redress": "not stated on the pages read",
    "effective_changes": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the **enacted** status of the \"Prohibition on the Use of Chargebacks in the Distribution of Investment Fund Securities\" with a date of **October 8, 2026**, and the **Noti",
    "additional_duty_fields": "not stated on the pages read"
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