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Who is allowed to give investment advice?



Our response:

Anyone who is in the business of trading or advising in securities must be registered with the securities regulator where they trade or provide advice. This is commonly known as the “business trigger” for registration. If someone is trading or advising in securities, including acts in furtherance of a trade, regularly, for a business purpose, and for compensation, they can trigger the requirement to be registered. Information on who must register including registration requirements and exemptions pursuant to National Instrument 31-03 Registration Requirements, Exemptions and Ongoing Registrant Obligations may be found on the OSC website.

You can check registration to find out if a person or company is registered and in which category. You may wish to contact the OSC at 1-877-785-1555 for further information on registration or regulatory matters and or speak with legal counsel.

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