Confirm Registration
Unless operating under an exemption from registration, a person or company shall not act as a dealer, adviser or investment fund manager without being registered in accordance with securities laws in Alberta. Dealer and adviser registration is required when an individual or firm conducts trading or advising activity as a business. We call this the “business trigger” for registration.
In order to determine whether registration is required, a firm or individual must consider whether their activities amount to trading or advising, and then determine whether they are carrying out those activities as a business. There is no business trigger for registration as an investment fund manager. If a firm engages in investment fund manager activities, it must register.
Search for a Registered Individual
You can search for a registered individual using either last or first name. If you are not sure how the name is spelled, place an asterisk (*) following the first few letters to return all results beginning with those letters. Example: If you are searching for an individual and are not sure if his last name is Smith or Smyth, enter Sm* in the Last Name field to return all results beginning with Sm. |