Registration & Compliance

A person or company cannot act as a dealer, adviser or investment fund manager without being registered in accordance with Nova Scotia securities laws subject to the availability of exemptions.

In order to determine whether registration is required as a dealer or an adviser, the person or company must consider whether its activities amount to trading or advising for a business purpose. If a company engages in investment fund manager activities, it must register.

Visit Registration Information and Forms for more information.

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