A person or company shall not act as a dealer, adviser or investment fund manager without being registered in accordance with securities laws in Alberta (subject to relying on an exemption). In order to determine whether registration is required as a dealer or adviser, a firm or individual must consider whether their activities amount to trading or advising for a business purpose. There is no “business trigger” for registration as an investment fund manager. If a firm engages in investment fund manager activities, it must register.
Looking to find out if an individual or firm is registered to sell investments? Use our search.
Already a registrant? Check out our registration forms.
Hoping to become registered? Review the guide to filing an application.