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:
Securities Companies, Brokers and Traders
Dealers, Investment Advisers, and Underwriters
Mutual Funds – General, Exempt and Limited Investors
Mutual Fund Administrators (Managers)