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New Dealer/Adviser Registration

New Dealer/Adviser Registration

Comarm has a team of experts who can assist clients with getting their company registered as a securities dealer or adviser. We help with the following registration categories:

  • Investment Dealer
  • Portfolio Manager
  • Exempt Market Dealer
  • Investment Fund Manager
  • Mutual Fund Dealer

Our New Dealer/Adviser Registration services include:

  • Preparation and submission of a complete registration package to the appropriate Canadian regulator as prescribed by National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and SRO Rules
  • Preparation and submission of forms required for firm set-up with National Registration Database (“NRD”), the registration system used by firms to file individual and certain firm registration forms and by the regulators to conduct their review
  • Preparation of the firm’s Compliance Policies & Procedures Manual
  • Preparation of the firm’s Business Continuity Plan
  • Preparation of the firm’s “Know-Your-Client” required documentation
  • Preparation of the firm’s Anti-Money Laundering Program and Risk Assessment
  • Completion and submission of registration applications of the new firm applicant’s qualified UDP, CCO, permitted individuals, supervisory personnel and representatives

Let us help you prepare. Contact Us at wehelp@comarm.com

New Dealer / Advisor Registration

New Dealer / Advisor Registration Services

New Dealer / Advisor Registration Toronto