Investment funds and their managers need to be aware of special rules in canada that can require the manager to register as an investment fund manager if there are canadian investors in a fund that it manages. Dealers advisers and investment fund managers.
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National instrument 31 103 registration requirements and exemptions and amendments to related rules.
Investment fund manager registration canada. In general firms must register with the osc if they conduct any of the following activities in ontario. Act as an underwriter or as an investment fund manager. On september 28 2009 a new canada wide regime for registrants came into force.
What they can sell or buy depends on the registration category of the firm that employs them. Investment fund manager a firm that manages an investment fund. Are in the business of trading in or advising on securities.
Under section 7 3 of national instrument 31 103 registration requirements exemptions and ongoing registrant obligations and consequential amendments to related instruments ni 31 103 the category of registration for a person or company that is required under applicable securities laws in canada to be registered as an investment fund manager. Who needs to register. This is referred to as the business trigger for registration.
Since 2009 the manager of an investment fund that has its head office located in canada has been required to register as an investment fund manager. In the context of the foregoing regulatory framework and in light of the growing canadian private equity market canada can be an interesting market for private equity fund managers to launch a first venture capital or private equity fund without having to immediately bear those expenses mandated by the registration process with a securities. This registration requirement can be triggered just by actively soliciting prospective new investors in canada.
Market participants benefit from our investment management registration group s comprehensive understanding of the regulatory landscape in canada and the vast array of financial products and services offered in today s capital markets. On july 11 2011. Dealing representative a person that buys or sells investment products on your behalf based on your instructions.
The regulatory climate for securities dealers and advisors and fund managers in canada is complex and ever changing. On july 5 2012 the canadian securities administrators published final versions of multilateral instrument 32 102 registration exemptions for non resident investment fund managers and multilateral policy 31 202 registration requirements for investment fund managers relating to registration requirements and exemptions for investment managers headquartered in canada canadian investment fund. As a result of national instrument 31 103 registration requirements exemptions and ongoing obligations ni 31 103 any person or company that acts as an investment fund manager in a province or territory of canada each a jurisdiction is required to become registered or exempt from registration as such with the relevant canadian securities regulatory authority securities regulator.
A manager for these purposes includes any person or other entity who i directs the business operations or affairs of an investment fund ii organizes the investment fund and iii is responsible for the management and administration of.
Investment Management Registration
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