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:
New Dealer/Adviser Registration
New Dealer/Adviser Registration
- 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