In Canada, individuals who sell financial products, such as: Once the licensing requirements have been met, the application for registration is handled by either your employer or, if you are working independently by a sponsoring financial services firm. After you are licensed you may also be required to take further educational courses continuing education to maintain your license.

Below is general information about each of the licensing bodies or regulators. To find out about specific licensing requirements please check directly with the various regulators. IIROC is the regulatory body for all securities firms in Canada. In addition, IIROC regulations require that those who have specific roles within the member firms all securities firms are IIROC members , such as portfolio management or supervisory roles such as branch management, meet defined educational and work experience criteria.

The MFDA is formally recognized as an SRO in Alberta, British Columbia, Nova Scotia, Ontario, Saskatchewan, New Brunswick and Manitoba and is currently pending approval in Newfoundland Labrador. The MFDA member rules reflect the mutual fund sales licensing proficiency requirements determined by the provincial securities commissions under National Instrument In addition to the base requirements set by the commissions, the MFDA sets proficiency requirements for its members for individuals who supervise those who sell mutual funds.

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Within the Province of Quebec, the Authorite des Marches Financiers oversees the proficiency requirements for the distribution of financial products including mutual funds and insurance. The ultimate authority for the licensing requirements of all individuals selling any type of securities rests with each provincial securities commission.

In the case of IIROC member firms, IIROC is responsible for the filing with the appropriate provincial securities commissions.

Mutual fund companies file directly with the commissions. The Canadian Securities Administrators website provides links to each of the Securities Commissions. Each province has either an insurance regulator or a department within the government that takes care of registration and oversight of licensed insurance sales persons.

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The firms must file directly with each regulator. The Canadian Council of Insurance Regulators website provides links to each of the provincial insurance regulators.

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The following are the CSI courses that meet the educational requirements for positions regulated by IIROC, MFDA, Provincial Securities Commissions and the Provincials Insurance Regulators. Please note that in addition to these educational requirements, these positions may have additional requirements such as work experience.

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FORMS Download a form. Investment Industry Regulatory Organization of Canada IIROC: Mutual Funds Dealer Association MFDA: Securities Commissions The ultimate authority for the licensing requirements of all individuals selling any type of securities rests with each provincial securities commission.

Insurance Regulators Each province has either an insurance regulator or a department within the government that takes care of registration and oversight of licensed insurance sales persons.

Securities Sales Licensing under the Investment Industry Organization of Canada IIROC: Investment Representative Canadian Securities Course CSC Conduct and Practices Handbook Course CPH Registered Representative - Retail: Also referred to in the industry as an Investment Advisor Canadian Securities Course CSC Conduct and Practices Handbook Course CPH Wealth Management Essentials WME The New Entrants Course NEC may be taken by individuals registered in a recognized foreign jurisdiction in lieu of the CSC and CPH in conjunction with completion of a recognized foreign registration examination.

Registered Representative - Institutional Canadian Securities Course CSC Conduct and Practices Handbook Course CPH Registered Representative - Portfolio Management Canadian Securities Course CSC Investment Management Techniques IMT Portfolio Management Techniques PMT OR Canadian Securities Course CSC Wealth Management Essentials WME Advanced Investment Strategies AIS Portfolio Management Techniques PMT Registered Representatives registered to sell additional products: Canadian Securities Course CSC Chief Compliance Officer: Canadian Securities Course CSC AND Partners, Directors and Senior Officers Course PDO OR Chief Compliance Officers Course CCO Portfolio Manager Associate Advising Representative or Advising Representative Chartered Investment Manager CIM designation Life Insurance Agent under the Provincial Life Insurance Regulators: What's New Leveraging CRM to Enhance Client Relationships Responsible Investment: Trends and Opportunities Working with Aging Clients: Best Practices and Compliance Guidance Executive Compensation Identifying a Private Client's Corporate Banking Needs.

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