Firms or individuals who are registered (or required to be registered) are known as registrants.  While many different titles can be used, it is the category of registration that will tell you what a registrant is allowed to do.

 

All registrants have a “Duty of Care” under the New Brunswick Securities Act  (Part 4, section 54).  This means that they shall act fairly, honestly and in good faith with clients. 

 

Depending on what type of services they want to provide, a firm or individual may be required to be registered as an Investment Fund Manager, an Adviser, or a Dealer.


 

In this section:

  


Related Areas


Exempt Markets 


Downloadable Resources


Understanding Registration

Understanding the category of registration informs you on what investment products and services a firm or individual can offer.


Learn more about Investing at our Tools & Resource Page

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