The British Columbia Securities Commission registers firms and their advisers (except firms and their advisors who register with the Investment Industry Regulatory Organization of Canada) and refuses applications from unsuitable candidates.
The BCSC also audits those securities firms on an ongoing basis for compliance with the rules. When securities firms and advisers understand and comply with the rules, investors are better protected.
Looking to register? We have provided some guidance for firms that want to apply.
Questions about compliance? This toolkit, along with this guide to conducting background research on people or companies, provides frequently requested information about rules and regulations that relate to registrant compliance.
The BCSC’s Compliance Report Card provides a summary of findings from BCSC staff reviews during the prior fiscal year, both positive and negative.
Other questions about registration not answered on our website?
Senior Registration Administrator
Legislation & Policies
- 11-102 Passport System [MI]
- 11-204 Process for Registration in Multiple Jurisdictions [NP]
- 31-102 National Registration Database [NI]
- 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
- 45-106 Prospectus Exemptions [NI]
- Securities Regulation, Section 22 - Fees Payable
Related CSA Staff Notices
- 11-321 Business Continuity Planning – Industry Testing Exercise [CSA Staff Notice]
- 31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers [CSA Staff Notice]
- 33-315 Suitability Obligation and Know Your Product [CSA Staff Notice]