Dealers, Advisers and Investment Fund Managers
The OSC administers regulation for individuals and companies advising or trading in securities or commodity futures offered for sale to the public in Ontario, and for investment fund managers. It promotes compliance with the requirements of the Securities Act (Ontario) and the Commodity Futures Act, as well as with any related rules and policies.
This section of the OSC website currently focuses on the new registration regime, which came into force on September 28, 2009. More information on the registration regime and how to comply with the requirements will be available in the coming weeks.
The information in this section should be taken as a guide. The content is not intended to provide investment, financial, accounting, legal, tax or other professional advice and should not be relied upon or regarded as a substitute for such advice. We recommend that you seek advice from a qualified professional adviser before acting on any information or other content appearing on this website or any website to which it may be linked.
