In general, anyone selling securities, offering investment advice or managing a mutual fund in Ontario must register with the OSC, unless they have an exemption.
Individuals and firms are registered by category - each category has different requirements and permits different activities. Regulators may impose restrictions on a registration. These are known as “terms and conditions”.
Use the CSA National Registration Search to find out:
- if a firm or individual is registered in Ontario or other Canadian jurisdictions
- the category or categories they are registered in
- if there are any terms and conditions on their registration
- It is important to check all jurisdictions (by clicking on the "+" signs) to see the totality of terms and conditions that may exist on the registration
- on the Search Screen select "show detailed search" and click on "Include Historical Registration Information" to see any past registration information available