Securities Registration
The Securities Act requires that anyone in the business of trading or advising in
securities or exchange contracts in the province be registered with the Commission.
Applicants must meet certain educational standards and capital requirements to obtain
registration and are then required to meet detailed conduct, solvency and reporting
obligations.
The Registration Division reviews and processes applications for registration of all
broker dealers/investment dealers, underwriters and salespersons in Manitoba. Registration
staff also monitor the conduct and solvency of registrants to ensure compliance with the
legislation. This is done through review of financial reports, on-site examinations and
investigations undertaken in conjunction with the Enforcement Division. Click on the
link below to find a list of the companies registered in Manitoba and the category of
their registration.
Registered
Companies
- Last updated November 17, 2006
Listed below are the individuals licensed to sell securities in the Province of
Manitoba. The list provides the category of registration as well as the name of the
employing company.
Registered Individuals - Last
updated November 17, 2006
A | B | C | D | E
- F | G | H | I
- K | L | Ma
- Mc | Me - My | N
- O | P - Q | R | Sa
- Sk | Sl - Sz | T
- V | W - Z
Information about complaints and investigations is not public. However, if
enforcement action has been taken against an individual or company, the resulting order is
public and available from a variety of sources. You can find out about the order by
searching the orders under the Orders and Exemptions
division or the reasons for decisions under the Investigation
and Enforcement Division. Orders issued prior to October 1, 1999 are available
from the Commission by calling (204) 945-2548.
Should you have any questions regarding registration please contact the above-noted
individuals.
Manitoba Securities Commission
500-400 St. Mary Avenue
Winnipeg MB R3C 4K5
Telephone: (204) 945-2548
Facsimile: (204) 945-0330
e-mail - securities@gov.mb.ca
|
