Mutual Funds

Dealing Representative of a Mutual Fund Dealer

Regulation 31-103 respecting Registration Requirements and Exemptions sets out the minimum education and experience requirements for each registration category.

To obtain a representative's certificate, the future professional must:

Step 1: Meet the education and experience requirements

The prescribed requirements are as follows:

The representative has passed one of the following exams:

or

Step 2: Enrol in the NRD

The employer submits the registration form via the NRD This link will open in a new window.

Chief Compliance Officer of a Mutual Fund Dealer

Regulation 31-103 respecting Registration Requirements and Exemptions sets out the minimum education and experience requirements for each registration category.

To obtain a representative's certificate, the future professional must:

Step 1: Meet the education and experience requirements

The prescribed requirements are as follows:

The individual has passed one of the following exams:

and

and

  • The individual has gained 12 months of relevant securities industry experience in the 36-month period before applying for registration;

or

Step 2: Enrol in the NRD

The employer submits the registration form via the NRD This link will open in a new window.

Ultimate Designated Person