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Search for an International Dealer or Adviser
International firms may operate as dealers or advisers in Alberta while relying on certain exemptions from registration. These firms are not subject to most of the registration requirements applicable to registered firms pursuant to NI 31-103. The international firms relying on these exemptions in Alberta must notify the ASC of their intention to do so, and provide certain other information, including, but not limited to, appointing an agent for service in Canada.
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 a firm and are not sure if the firm name is Smith Inc. or Smyth Inc., enter Sm* in the field to return all results beginnign with Sm. |