Industry


Terms and Conditions


The OSC may impose terms and conditions on a registration at the time of registration or at any time after registration.

Terms and conditions imposed at the time of registration are generally permanent, for example, in the case of a restricted dealer who is limited to specific activities.

Terms and conditions imposed after registration are generally temporary. For example, if a registered firm does not maintain the required capital, it may have to submit monthly financial statements and capital calculations with the OSC for a period of time.

Firms and individuals will have an opportunity to be heard before we impose terms and conditions on their registration.