Guide to Applying for Registration<\/p>\n\n\n\n
Once a firm has determined which category of registration it wishes to apply under, it must complete and file Form 33-109F6, Firm Registration.<\/p>\n\n\n\n
Investment Dealers and Mutual Fund Dealers must first become members of the Canadian Investment Regulatory Organization<\/a> (CIRO).<\/p>\n\n\n\n All firms seeking registration in Manitoba are required to enroll with the National Registration Database (NRD). They will receive an NRD number to apply for registration. For more information, click here. http:\/\/www.nrd-info.ca.<\/p>\n\n\n\n Completing Form 33-109F6, Firm Registration<\/a><\/p>\n\n\n\n Submit the following supporting documents with your application:<\/p>\n\n\n\n Schedule B, Submission to Jurisdiction and Appointment of Agent for Service, for each jurisdiction where the firm is seeking registration (refer to 2.4 of the Form 33-109F6) Firms can send their registration package via email to registrationmsc@gov.mb.ca or mail it to:<\/p>\n\n\n\n Deputy Director If the firm is seeking registration in Ontario, and the firm\u2019s principal regulator is not in Ontario, the firm must also file Form 33-109F6 with the Ontario Securities Commission (OSC) in addition to filing Form 33-109F6 with the principal regulator. The OSC does not require supporting documentation with the form.<\/p>\n\n\n\n Once The Manitoba Securities Commission has received the application, we will place the firm in a \u201cpending state\u201d on the NRD. At that time we will ask the firm to submit its registration fees through its electronic fund transfer account with the NRD. For more information, please refer to the Fees section.<\/p>","protected":false},"excerpt":{"rendered":" Guide to Applying for Registration Once a firm has determined which category of registration it wishes to apply under, it […]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":162,"menu_order":5,"comment_status":"closed","ping_status":"closed","template":"template-child-switcher.php","meta":{"_acf_changed":false,"_uag_custom_page_level_css":"","site-sidebar-layout":"default","site-content-layout":"","ast-site-content-layout":"default","site-content-style":"default","site-sidebar-style":"default","ast-global-header-display":"","ast-banner-title-visibility":"","ast-main-header-display":"","ast-hfb-above-header-display":"","ast-hfb-below-header-display":"","ast-hfb-mobile-header-display":"","site-post-title":"","ast-breadcrumbs-content":"","ast-featured-img":"","footer-sml-layout":"","ast-disable-related-posts":"","theme-transparent-header-meta":"","adv-header-id-meta":"","stick-header-meta":"","header-above-stick-meta":"","header-main-stick-meta":"","header-below-stick-meta":"","astra-migrate-meta-layouts":"default","ast-page-background-enabled":"default","ast-page-background-meta":{"desktop":{"background-color":"var(--ast-global-color-5)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""},"tablet":{"background-color":"","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""},"mobile":{"background-color":"","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""}},"ast-content-background-meta":{"desktop":{"background-color":"var(--ast-global-color-4)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""},"tablet":{"background-color":"var(--ast-global-color-4)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""},"mobile":{"background-color":"var(--ast-global-color-4)","background-image":"","background-repeat":"repeat","background-position":"center center","background-size":"auto","background-attachment":"scroll","background-type":"","background-media":"","overlay-type":"","overlay-color":"","overlay-opacity":"","overlay-gradient":""}},"footnotes":""},"class_list":["post-177","page","type-page","status-publish","hentry"],"acf":[],"_hostinger_reach_plugin_has_subscription_block":false,"_hostinger_reach_plugin_is_elementor":false,"uagb_featured_image_src":{"full":false,"thumbnail":false,"medium":false,"medium_large":false,"large":false,"1536x1536":false,"2048x2048":false,"trp-custom-language-flag":false},"uagb_author_info":{"display_name":"Manitoba Financial Services Agency","author_link":"https:\/\/hykaz.net\/fr\/author\/manitoba-financial-services-agency\/"},"uagb_comment_info":0,"uagb_excerpt":"Guide to Applying for Registration Once a firm has determined which category of registration it wishes to apply under, it […]","_links":{"self":[{"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages\/177","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/comments?post=177"}],"version-history":[{"count":2,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages\/177\/revisions"}],"predecessor-version":[{"id":190,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages\/177\/revisions\/190"}],"up":[{"embeddable":true,"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/pages\/162"}],"wp:attachment":[{"href":"https:\/\/hykaz.net\/fr\/wp-json\/wp\/v2\/media?parent=177"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}
The firm\u2019s business plan for the next three years (refer to Part 3 of the Form 33-109F6)
The firm\u2019s Policies and Procedures Manual, including account opening procedures and the policy on fairness in allocation of investment opportunities (refer to 3.3 of the Form 33-109F6)
Constating documents\u2014the legal documents that establish the firm as an entity (refer to 3.7 of the Form 33-109F6)
Organizational chart showing the firm\u2019s reporting structure (refer to 3.11 of the Form 33-109F6)
Ownership Chart \u2013 showing the firms structure and ownership (refer to 3.12 of the Form 33-109F6)
Calculation of excess working capital (refer to 5.1 and to Form 31-103F1<\/a>)
Directors\u2019 resolution approving insurance confirming the firm has sufficient insurance coverage (refer to 5.7 of the Form 33-109F6)
Audited financial statements prepared within the last 90 days (refer to 5.13 of the Form 33-109F6)
Letter of direction to auditors from the firm authorizing the auditor to conduct any audit or review the regulator may request (refer to 5.14 of the Form 33-109F6)<\/p>\n\n\n\n
The Manitoba Securities Commission
500 \u2013 400 St. Mary Avenue
Winnipeg, MB R3C 4K5<\/p>\n\n\n\n