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

Listed below are the companies licensed to sell securities in the Province of Manitoba.

A - F | G - M | N - R | S - Z - Updated daily Monday to Friday

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

Updated daily Monday to Friday

A | B | C | D | E - F | G | H | I - K | L | M | N - O | P - Q | R | S | 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.

Investment Industry Regulatory Association of Canada - Alternatively, if you are dealing with a firm that is a member of the Investment Industry Regulatory Association of Canada, you may contact IIROC at http://www.iiroc.ca or 1-866-214-7200 and they will investigate the complaint. In some cases the matter may be referred to an arbitrator.

Mutual Fund Dealers Association of Canada –The Mutual Fund Dealers Association of Canada is responsible for regulating all sales of mutual funds by its members in Canada. The MFDA does not regulate the funds or fund manufacturers. This responsibility remains with the securities commissions. For more information, please go to the MFDA web site at www.mfda.ca.