Dealers, Advisers and Investment Fund Managers
This section of the website outlines the general process for applying for registration. In order to get registered in Ontario, a firm or individual must:
- choose one or more categories of registration
- meet the initial registration requirements
- decide if they want to register in more than one province or territory
- complete and submit an application
- pay registration fees, and
- be approved
Firms must also enrol in the National Registration Database (NRD) and receive an NRD number in order to apply for registration and to submit other forms and notices relating to the registration of the firm and the individuals it sponsors.
If you have questions about the registration process, contact us. If you have questions about registering under your particular circumstances, you should seek professional advice. As a regulatory agency, the OSC cannot provide legal or other professional advice.
For more information:
- National Instrument 31-102 National Registration Database
- OSC Rule 31-509 National Registration Database (Commodity Futures Act)