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Securities - Registration and Licensing Process

Information relating to licensing and registration with the Commission is outlined below:

Registration / Licensing Requirements

Applicants are required to provide such information and/or documentation to demonstrate that the requirements for registration or a licence have been satisfied. The checklists outlined herein faciilitate the process by enabling you to easily identify the  documents and and must be submitted with the application or filing.  A completed checklist must accompany an application/filing.

The checklists for various applications and filings are outlined below:

Self-regulatory Organisations

 Reporting Issuers

 Securities Companies, Brokers and Traders

 Dealers, Investment Advisers, and Underwriters

 Mutual Funds – General, Exempt and Limited Investors

 Mutual Fund Administrators (Managers)