Ontario Securities Commission Announces Pre-Registration Reviews of Exempt Market Dealer Applicants – It’s Going to Get Tougher to Get Registered!

OSC Pre-Registration Review 3The Ontario Securities Commission (the OSC) recently announced that it has commenced a pre-registration review process for new registrant firms, including exempt market dealers (EMDs), in order to assess compliance with Ontario securities law at the time of registration. Why is the OSC doing this? The OSC wants to ensure firm applicants, such as EMDs, [...]