Registration of your financial firm

Getting registered as a Financial Firm in Canada or the USA

Getting registered with a regulator takes time . The wait will be between four months and a nine months . Sometimes the regulator may not make a decision and delay the process a year - withour a response . Applications are approximately 25 pages of details including a business plan and names of all involved. It may be easier if a CCO is onboard. All individuals , executives, must also complete a lengthy personal application.

It is easier and faster to register a firm with the SEC than in Canada.

Any questions feel free to contact us at Torontocompiance.com