Registration

At Registrant Law, we provide expert legal guidance on securities registration matters, helping clients navigate the regulatory landscape with clarity and confidence. Whether you're launching a new firm, adding a new registration category, expanding into Canada, or seeking clarity on your obligations, we deliver tailored, strategic support every step of the way.

Securities Registration Guidance

We advise on all aspects of securities registration, including:

• Assessing Registration Requirements: We help determine whether registration is required under applicable securities laws.
• Identifying Exemptions: We evaluate and apply relevant exemptions to avoid unnecessary filings while ensuring compliance.
• Filing Strategy & Documentation: We prepare and submit accurate, regulator-ready documentation to meet deadlines and minimize delays.

Firm and Individual Registration

New Firm Registrations

We provide end-to-end support for new firms seeking registration as dealers, advisers, or investment fund managers:

• Regulatory Readiness Assessment: We evaluate your business model to determine the appropriate registration category and jurisdiction.
• Application Preparation: We draft or review all required forms, including Form 33-109F6 (Firm Registration), business plans, compliance manuals, and organizational charts.
• Compliance Infrastructure: We help establish robust compliance systems, including policies and procedures tailored to your operations.
• Regulator Engagement: We liaise with securities regulators on your behalf, respond to follow-up questions, and guide you through the review process.

Adding Registration Categories to Existing Firms 

We assist registered firms in expanding their operations by adding new registration categories:

• Strategic Assessment: We assess your firm’s readiness to take on new registration categories (e.g., adding portfolio management to an existing EMD registration).
• Application Support: We prepare or review and file Form 33-109F6 amendments and supporting documentation, including updated business plans and compliance manuals.
• Regulatory Coordination: We manage communications with regulators to ensure a smooth and timely review process.
• Compliance Alignment: We help align your internal controls and supervisory structure with the requirements of the new category.

Domestic & Foreign Firms

• Domestic Firms: We assist Canadian firms in registering with provincial and territorial regulators.
• Foreign Firms: We help international firms understand and comply with Canadian registration requirements, including use of international dealer/adviser exemptions.

Individual Registrants

We support professionals such as dealing representatives, advising representatives, and chief compliance officers in meeting registration standards and maintaining good standing.

• Regulatory Expertise: Deep knowledge of Canadian securities laws and regulatory expectations.
• Tailored Solutions: Practical, business-focused advice aligned with your goals.
• Cross-Border Experience: Proven support for global firms entering the Canadian market.

Contact Nancy Mehrad at nancy@registrantlaw.com to learn more about our Registration practice.