Individual : Representatives

A Representative is usually accredited to a broker dealer, a limited service broker’, or an investment adviser (company) as the case may be. The definition of a Representative is construed in accordance with the definition provided for in the Securities Act. Accredited Representatives usually engage in securities business activities which may include investment banking, dealing (excluding Investment Adviser representatives), advising, trading, marketing, business development and solicitation or conduct of business in securities. Individuals can hold a Representative Licence without accreditation, however, these individuals are not authorized to operate in the ECSM unless the Commission is notified of an accreditation to a broker dealer, limited service broker, or an investment adviser company.