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FORM 33109F4 REGISTRATION OF INDIVIDUALS AND REVIEW OF PERMITTED INDIVIDUALS (section 2.2) GENERAL INSTRUCTIONS Complete and submit this form to the relevant regulator(s) or in Quebec, the securities.
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Garnishments FAQ
The Ontario Securities Commission (OSC) regulates firms and individuals who are in the business of advising or trading in securities or commodity futures, contracts and options, and firms that manage investment funds in Ontario.
Any business advising on or trading in securities, or commodity futures, contracts or options, or that manages investment funds in Ontario must be registered with the Ontario Securities Commission (OSC), unless it has an exemption.
The OSC conducts compliance reviews of advisers, exempt market dealers, scholarship plan dealers and investment fund managers to monitor whether they are complying with Ontario securities law.
A firm applying for registration with the OSC must first enroll with the National Registration Database (NRD) to obtain its NRD number. Enrolling with NRD enables the firm to submit individual registration filings and select firm filings to the OSC electronically.
The minimum capital required for firms are as follows: $25,000 for a registered adviser. $50,000 for a registered dealer. $100,000 for a registered investment fund manager.
The Ontario Securities Commission (OSC) regulates firms and individuals who are in the business of advising or trading in securities or commodity futures, contracts and options, and firms that manage investment funds in Ontario.
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