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ARTICLE · 15 JULY 2013

Strategies For Complying With Canada’s Dealer Registration Requirements

Osler, Hoskin & Harcourt LLP
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Securities dealers, investment fund managers and others selling securities into Canada need to be aware of Canada’s securities dealer registration requirements.

CanadaFinance and Banking
Robert Lando
Robert Lando
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Securities dealers, investment fund managers and others selling securities into Canada need to be aware of Canada's securities dealer registration requirements and determine the best way to comply with them.

Who Must Register as a Securities Dealer?

In Canada, the requirement to register as a securities dealer is triggered by being in the business of trading in securities, which is called the business trigger. If you sell securities to investors in Canada as part of your business, you may trip the trigger and have to register as a dealer in Canada. Even issuers selling their own securities and investment fund managers selling securities of the funds they manage can be caught by the dealer registration requirement.

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