INVESTMENT DEALER
A person or company that is a member, branch office member, or associate member of the Ontario District of the Investment Dealers' Association of Canada ("IDA"), which person or company engages in the business of trading in securities in the capacity of an agent or principal. Application for new registration in this category must be made directly to the OSC as well as to the IDA.
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INVESTMENT COUNSEL, PORTFOLIO MANAGER, EXTRA-PROVINCIAL ADVISER
Investment Counsel - Persons or companies that engage in or hold themselves out as engaging in the business of advising others as to the investing in or the buying and selling of specific securities or that are primarily engaged in giving continuous advice as to the investment of funds on the basis of the particular objectives of each client.
Portfolio Manager - Persons or companies that are registered for the purpose of managing the investment portfolio of clients through discretionary authority granted by one or more clients. Please note that a Portfolio Manager must also obtain registration as Investment Counsel.
Extra-Provincial Adviser - A person or company that is registered in accordance with OSC Rule 35-502 solely for the purpose of advising or managing investment portfolios of clients in Ontario without having a place of business in Ontario and without partners, officers or representatives in Ontario.
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MUTUAL FUND DEALER
A person or company that is registered solely for the purpose of trading in the shares or units of mutual funds. (See OSC Rule 31-506: SRO Membership Mutual Fund Dealer) |
LIMITED MARKET DEALER
A person or company that is registered solely for the purpose of trading in securities in accordance with OSC Rule 31-503. Please refer to s.35 and s.72 of the Securities Act, OSC Rule 45-501, and National Instrument 45-106 for information regarding the types of trades which a Limited Market Dealer's registered officers and salespeople are able to execute under this type of registration.
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SCHOLARSHIP PLAN DEALER
A person or company that is registered solely for the purpose of trading in securities of a scholarship or education plan or trust.
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SECURITIES ADVISER
Persons or companies that hold themselves out as engaging in the business of advising others either through direct advice or through publications or writings, as to the investing in or the buying or selling of specific securities, not purporting to be tailored to the needs of specific clients.
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INTERNATIONAL DEALER
A person or company that is registered solely for the purpose of trading in securities in accordance with s. 208 of the Regulation.
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INTERNATIONAL ADVISER
A person or company that is registered in accordance with OSC Rule 35-502 solely for the purpose of advising or managing investment portfolios of clients in Ontario without having a place of business in Canada and without partners or officers resident in Canada.
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SECURITY ISSUER
An issuer that is registered for trading in securities for the purpose of distributing securities of its own issue solely for its own account. A prospectus must be filed concurrently if registration is sought in this category.
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