Nancy Mehrad

The author, Nancy Mehrad, is a securities lawyer based in Canada, and the CEO and Founder of Registrant Law Professional Corporation.
Nancy Mehrad

Nancy Mehrad

Author and the CEO and Founder of Registrant Law Professional Corporation

Conducting securities trading or advising activities in Canada – International Dealer Exemption

31 October 2022

Canadian securities regulators require that entities or individuals that conduct certain specified activities must first be registered with the securities regulatory authorities in the Canadian provinces or territories in which such activities are conducted. Firms and individuals must register if they are in the business of trading or advising in securities, acting as an underwriter, or acting as an investment fund manager. There are, however, numerous exemptions available to the registration requirement. For foreign adviser or dealers, the most commonly used exemptions are (1) international adviser; (2) international sub-adviser; and (3) international dealer. This article is part of a multi-part series, and discusses the international dealer exemption. Continue reading…

Nancy Mehrad

Nancy Mehrad

Author and the CEO and Founder of Registrant Law Professional Corporation

Conducting securities trading or advising activities in Canada – International Sub-Adviser Exemption

03 August 2022

Canadian securities regulators require that entities or individuals that conduct certain specified activities must first be registered with the securities regulatory authorities in the Canadian provinces or territories in which such activities are conducted. Firms and individuals must register if they are in the business of trading or advising in securities, acting as an underwriter, or acting as an investment fund manager. There are, however, numerous exemptions available to the registration requirement. For foreign adviser or dealers, the most commonly used exemptions are (1) international adviser; (2) international sub-adviser; and (3) international dealer. This article is part of a multi-part series, and discusses the international sub-adviser exemption.  Continue reading…

Nancy Mehrad

Nancy Mehrad

Author and the CEO and Founder of Registrant Law Professional Corporation

Conducting securities trading or advising activities in Canada – International Adviser Exemption

11 July 2022

Canadian securities regulators require that entities or individuals that conduct certain specified activities must first be registered with the securities regulatory authorities in the Canadian provinces or territories in which such activities are conducted. Firms and individuals must register if they are in the business of trading or advising in securities, acting as an underwriter, or acting as an investment fund manager. There are, however, numerous exemptions available to the registration requirement. For foreign adviser or dealers, the most commonly used exemptions are (1) international adviser; (2) international sub-adviser; and (3) international dealer. This article is part of a multi-part series, and discusses the international adviser exemption.  Continue reading…