News Releases
CSA’s web-based tool allows investors to search registration of securities industry participants across multiple Canadian jurisdictions
Dec 21, 2009
The Canadian Securities Administrators (CSA) is encouraging investors across Canada to use its National Registration Search (NRS) to check the registration of a firm or individual when considering an investment opportunity or using a financial adviser.
Canadian securities industry professionals and firms are required to register with the securities regulatory authority in each province or territory where they do business. Investors can use NRS to search for information about individuals and firms registered with the participating securities regulatory authorities.
Searching NRS allows investors to:
- check a registrant’s current or historical status dating back to March 14, 2003
- determine the category of registration that applies to an individual or a firm
- understand any registration terms or conditions that apply to a registrant
- view the participating jurisdictions where a firm or individual is registered
Investors can search NRS on the CSA website (www.securities-administrators.ca), or link to it through a participating provincial regulator’s website. A link is available on the CSA website to access registrant information from the Ontario Securities Commission.
The CSA launched NRS in early November and introduced it to industry and various stakeholders in order to test its capacity and encourage user feedback. The CSA used this input to make some changes and additions to NRS that improved usability, accessibility and design.
Firm and individual registration relies on National Instrument 31-103 Registration Requirements and Exemptions (NI 31-103) and related rules, which create a Canada-wide registration regime. NI 31-103 also works with the passport system, which allows individuals and firms to register in more than one province or territory by dealing only with their principal regulator.
The CSA, the council of the securities regulators of Canada’s provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets.
For more information:
| Ken Gracey British Columbia Securities Commission 604-899-6577 |
Sylvain Théberge Autorité des marchés financiers 514-940-2176 |
| Mark Dickey Alberta Securities Commission 403-297-4481 |
Robert Merrick Ontario Securities Commission 416-593-2315 |
| Ainsley Cunningham Manitoba Securities Commission 204-945-4733 |
Wendy Connors-Beckett New Brunswick Securities Commission 506-643-7745 |
| Natalie MacLellan Nova Scotia Securities Commission 902-424-8586 |
Barbara Shourounis Saskatchewan Financial Services Commission 306-787-5842 |
| Janice Callbeck PEI Securities Office Office of the Attorney General 902-368-6288 |
Doug Connolly Financial Services Regulation Div. Newfoundland and Labrador 709-729-2594 |
| Fred Pretorius Yukon Securities Registry 867-667-5225 |
Louis Arki Nunavut Securities Office 867-975-6587 |
| Donn MacDougall Northwest Territories Securities Office 867-920-8984 |