In general, anyone selling securities, offering investment advice or managing an investment fund in Ontario must register with the OSC, unless they have an exemption. They are referred to as a “registrant”.
Individuals and firms are registered by category. Each category has different requirements and permits different activities. In situations where a regulator has imposed restrictions on a registration, there will be reference to “terms and conditions” within the registration record.
The Canadian Securities Administrators (CSA) National Registration Search is the primary source of information to determine:
- if a firm or individual is registered in Ontario or other Canadian jurisdictions
- the category or categories a firm or individual is registered in
- if there are any terms and conditions on a firm or individual’s registration
Search for a registrant
To view all terms and conditions that may exist on a registration, check all jurisdictions by selecting the plus sign on the screen.
To view any past registration information, if it is available, select show detailed search and select include historical registration information.