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National Registration Search

In Canada, securities industry professionals are required to register with the securities regulatory authority in each province or territory where they do business.

The Canadian Securities Administrators (CSA) maintains a list of all firms and individuals registered with securities regulatory authorities in Canada. Registration information from the Ontario Securities Commission (OSC) is not included in the national registration data, but it is available through the OSC registrant List. (See left side to access.)

To use the CSA's National Registration Search, visit the Canadian Securities Administrators website.

From their website:

The Canadian Securities Administrators (CSA) is a voluntary umbrella organization of Canada’s provincial and territorial securities regulators whose objective is to improve, coordinate and harmonize regulation of the Canadian capital markets.

It aims to achieve consensus on policy decisions which affect our capital market and its participants. It also aims to work collaboratively in the delivery of regulatory programs across Canada, such as the review of continuous disclosure and prospectus filings.

While the CSA co-ordinates initiatives on a cross-Canada basis, provincial or territorial regulators handle all complaints regarding securities violations in their respective jurisdictions. This provides a more direct and efficient service since each regulator is closer to its local investors and market participants. Enforcement of securities regulations is also done on an individual basis by each province or territory.

 

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