Registration

The registration provisions of The Securities Act, 1988 (the Act) and accompanying regulations are intended to ensure that only honest and knowledgeable people are registered to sell securities, and that their businesses are financially stable and fair. The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) manages the registration process to help protect the public and the marketplace.

The Act requires that anyone in the business of selling a security or derivatives contract must be registered with the FCAA as a dealer or a salesperson, including investment, mutual fund, exempt market, and scholarship plan dealers

Anyone in the business of giving advice about a security or derivatives contract must also register as an adviser or as an advisor’s employee, including portfolio and restricted portfolio managers, and investment fund managers.

Individuals can also be registered, as dealing, advising, or associate advising representatives, ultimate designated persons, or chief compliance officers.

Here are registration resources:

• General registration requirements
• Registration exemptions
• Ongoing requirements for registrants
• Fitness for registration
• Non-resident registrants
• National registration search
• Deposit Agents rules and forms