What is a Dealing Representative?

A Dealing representative may act as a dealer or an underwriter in respect of a security that the individual’s sponsoring firm is permitted to trade or underwrite.

A dealing representative of an exempt market dealer must not act as a dealer on behalf of the exempt market dealer unless any of the following apply:

(a) the individual has passed the Canadian Securities Course Exam;

(b) the individual has passed the Exempt Market Products Exam;

(c) the individual satisfies the conditions set out in section 3.11 [portfolio manager – advising representative].

Source: https://www.osc.gov.on.ca/documents/en/Securities-Category3/rule_20090717_31-103_national-instrument.pdf

Who are our Dealing Representatives? Check registration here: https://www.securities-administrators.ca/nrs/nrsFirmSearchResults.aspx?mode=QS&type=F&firm=stevloc+management+inc.

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