The initial registration requirements for a firm are set out in the following forms:
- Form 33-109F6 Firm Registration for applications under the Securities Act (Ontario), and
- Form 33-506F6 Firm Registration for applications under the Commodity Futures Act (Ontario).
In particular, all firms must confirm that they have met the working capital and insurance requirements as set out in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and the Commodity Futures Act (Ontario) by attaching audited financial statements and insurance declarations to their application form. For more information, see Firm Applications.
A firm registered as an investment dealer or futures commission merchant is generally required to be a member of the Investment Industry Regulatory Organization of Canada (IIROC).
A firm registered as a mutual fund dealer is generally required to be a member of the Mutual Fund Dealers Association of Canada (MFDA).
We may ask for other information to help us make a complete assessment of the firm’s fitness for registration.