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Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers
One Year Subscription Only Terms
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If subscribers cancel between 31 and 60 days after the invoice date and return the product at their expense, then they will receive a 5/6th credit of the price for the annual subscription. No credit will be given for cancellations more than 60 days after the invoice date. To receive any credit, subscriber must return all product(s) shipped during the year at their expense within the applicable cancellation period listed above.
Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers provides foreign securities and investment firms with essential information they need about Canadian securities regulatory licensing requirements.
Written with Canada's top securities law experts at McCarthy Tétrault LLP, this resource serves as a comprehensive guide to foreign securities and investment firms seeking Canadian clients. In short, anyone who has clients conducting securities business in Canada will require this resource. Foreign investment managers will also require this information to act as an investment fund manager in Canada.
The book covers topics that should be addressed by non-residents before trading securities or providing investment advice to any person or company within Canada.
- Dealer registration
- Adviser registration
- Investment fund manager registration
- Prospectus requirements
Table of contents
Chapter 1 Purpose
Chapter 2 The Canadian Securities Regulatory Framework
Chapter 3 Trading in Securities by Non-Resident Broker-Dealers
Chapter 4 Advising in Securites by Non-Resident Advisors
Chapter 5 Acting as an Investsment Fund Manager
Chapter 6 Registration Requirements Applicable to Offshore Private Equity Fund Offerings Into Canada
Chapter 7 Annual Registration Exemption Filing Requirements
Chapter 8 Prospectus Requirements
Chapter 9 Extra Provincial Registration
Chapter 10 Limited Partnership Securities offerings
Chapter 11 Terrorist Financing Reporting Obligations
Schedule A Permitted Clients
Schedule B Accredited Investors
Securities Act (Ontario)
Regulation 1015 Under the Securities Act (Ontario)
National and OSC Policy Documents (Instruments, Rules, Policies and Notices)