For Mutual Funds

For securities investments:

(not limited to mutual funds):

Successful completion of the Canadian Securities Course (CSC)® is the pre-requisite to becoming licensed (registered) to sell securities. In order to be registered to sell securities, your license must be sponsored by a dealer firm and you are required to complete the Conduct and Practices Handbook Course (CPH)®, the Registrant Code of Ethics and Registrant Standards of Conduct courses.

Once licensed, securities advisors and dealers are regulated by the Investment Industry Regulatory Organization of Canada (IIROC). IIROC approved advisors must complete a 90-day training program and within 30 months complete the Wealth Management Essentials Course.

To find out more about what’s required to be an IIROC approved registrant click here.

If you have another financial license and want to become an IIROC registrant, you must disclose the outside business to your IIROC firm and seek its approval before engaging with clients. For more information on outside business activities click here.

More information on who needs to be registered and the steps involved is available on each Provincial securities commissions website, including the Ontario Securities Commission. You can also find information on the various registration categories here.