Dealers, Advisers and Investment Fund Managers
Changes to Registration
This section explains the types of changes that can be made to a registration. In some cases, the firm or individual must notify us or apply for the change. In other cases, the OSC will make the change and notify the firm or individual.
Changes to registration include:
- Once they are registered, firms and individuals may add or remove categories of registration and add or remove jurisdictions.
- Registered individuals may also transfer their registration to another firm.
- The OSC may impose terms and conditions on a registration at the time of registration or at any time after registration.
- We may suspend a registration if we are concerned about a firm’s or individual’s fitness for registration.
- Firms and individuals whose registration has been suspended may apply to have their registration reinstated.
- Firms and individuals may voluntarily surrender their registration.
Registered firms, registered individuals and permitted individuals must also keep their registration information up to date by notifying us of any changes.
For more information:
- Registration Rules FAQ
- Omnibus orders, blanket orders and transitional relief relating to new registration regime