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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

Family, Friends and Business Associates


ASC staff are conducting a review of the Family, Friends ​and Business Associates prospectus exemption that is available to companies raising capital under conditions contained in section 2.5 of National Instrument 45-106 Prospectus Exemptions. The intent of this review is to better understand the use of this exemption.

Staff have selected a random sample of investors from companies that have recently sold securities under this exemption and reported the sale to the ASC as required by law.  These investors will be contacted by regular mail and asked to complete a questionnaire. If you receive our letter and questionnaire in early June we request that you complete the questionnaire. 

As the selection is random if you receive a questionnaire from the ASC it does not mean that there is a problem with the company or investment.

The overall results will be reviewed by Staff in the context of the ASC’s mandate to protect investors and foster a fair and efficient capital market. While summary observations from the survey may become public, individual responses will remain confidential to the fullest extent permitted by law.​



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