Registration

Ongoing Requirements

Registered firms are subject to many ongoing requirements. For example, registered firms must:

The Manitoba Securities Commission conducts regular reviews to monitor each firm's compliance with securities law. For more information, see MSC Compliance Reviews.

All registered firms, international dealers and international advisers are required to comply with federal laws regarding terrorist financing and United Nations sanctions, and are required to file a report with their principal regulator. For more information, please see .

CSA Staff Notice 31-317 Reporting Obligations Relating to Terrorist Financing for Registrants, Exempt International Dealers, and Exempt International Advisers.

Investment Dealers and Mutual Fund Dealers

All registered investment dealer and mutual fund dealers must also hold membership with a self-regulatory organization (SRO) such as Investment Industry Regulatory Organization of Canada and The Mutual Fund Dealers Association of Canada.

The Investment Industry Regulatory Organization of Canada (IIROC) works with The Manitoba Securities Commission to regulate investment dealer activity. Investment dealers can visit the IIROC website for more information about the additional rules applicable to all IIROC members.

The Mutual Fund Dealers Association of Canada (MFDA) works with The Manitoba Securities Commission to regulate mutual fund dealer activity. Mutual fund dealers can visit the MFDA website for more information about the additional rules applicable to all MFDA members.