Registrant Toolkit

Registrant & Market Regulation

Why is registration important? Working with registered firms and individuals gives investors confidence, knowing that those firms and individuals have met the regulator’s minimum proficiency and integrity standards and are subject to the regulator’s ongoing supervision. The registration requirement serves an important gatekeeping function to prevent investor harm before it can occur.

Consult the glossary for a plain language explanation of terms used regarding registration.

If you have any questions about the registration process, please contact registration@asc.ca.

Rules and Notices Regarding Registration Requirements

11-102
11-102CP

 Passport System [MI]
Companion Policy to MI 11-102 – Consolidated Version
11-204 Process for Registration in Multiple Jurisdictions [NP]
31-103
31-103CP		 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
Companion Policy to NI 31-103 – Consolidated Version
31-202 Registration Requirement for Investment Fund Managers [MP]
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers [CSA Notice]
33-109
33-109CP		 Registration Information [NI]
Companion Policy to NI 33-109 – Consolidated Version