Full-Scope Support for Ontario Securities Commission (OSC) Registration AML Incubator provides tailored registration and compliance services for fintechs, exempt market dealers (EMDs), portfolio managers, and fund managers operating in Ontario’s capital markets. Contact Us
The Ontario Securities Commission (OSC) is Canada’s most influential provincial securities regulator. Any firm offering securities, providing investment advice, or managing funds in Ontario must comply with OSC registration and ongoing regulatory obligations.
AML Incubator offers end-to-end support—covering initial registration, documentation, and post-approval compliance—to help clients reduce delays, meet regulatory standards, and scale with confidence.
Securing your OSC License is essential for operating in Ontario’s capital markets. AML Incubator provides expert support throughout the registration process, from pre-registration reviews to final submissions. AMLI OSC registration solutions ensure that your business model aligns with regulatory requirements, minimizing delays and ensuring compliance. AML Incubator offers ongoing support to maintain compliance post-approval, including reporting and audit preparation. With AML Incubator, you can confidently secure and maintain your OSC License, ensuring smooth and compliant operations.
Full-Service Trading & CIRO Membership Investment dealers are authorized to trade in all types of securities and must become members of the Canadian Investment Regulatory Organization (CIRO). AML Incubator assists with both OSC and CIRO registration processes, ensuring all documentation, financial thresholds, and compliance requirements are satisfied.
Services Include:
Suitable for: Broker-dealers, full-service trading firms, and multi-asset platforms.
Private Placement & Accredited Investor Distribution EMDs may distribute exempt securities to qualified clients without CIRO membership. AML Incubator supports private issuers and fintech companies in meeting the requirements of National Instruments 31-103 and 45-106.
Services Include:
Suitable for: Private issuers, real estate funds, crypto token sales, and early-stage fintechs.
Mutual Fund Distribution with CIRO Oversight Mutual fund dealers distribute fund-only products and are required to register with both the OSC and CIRO. AML Incubator simplifies this process by guiding firms through registration and operational setup.
Services Include:
Suitable for: Wealth managers, mutual fund sales representatives, and fund distributors.
Discretionary Advice and Investment Strategy Execution Portfolio managers are responsible for delivering personalized investment advice and discretionary account management. AML Incubator provides a structured onboarding path that meets OSC proficiency, capital, and governance requirements.
Services Include:
Suitable for: Robo-advisors, independent asset managers, and wealth advisory firms.
Fund Oversight, Custodianship, and Reporting IFMs manage investment funds and are responsible for fund operations, custody arrangements, and investor disclosures. AML Incubator works with both local and cross-border fund managers to build compliant fund structures.
Services Include:
Suitable for: Hedge funds, VC funds, pooled investment vehicles, and family offices.
All OSC service packages include:
Firms including FinTechs, exempt market dealers (EMDs), portfolio managers, mutual fund dealers, investment dealers, and investment fund managers that conduct business in Ontario's capital markets need to register with the OSC. Registration ensures compliance with regulatory standards in securities trading, investment advice, and fund management.
The OSC registration process typically takes several months, depending on the complexity of your business and how prepared your firm is with the required documentation. AML Incubator works with clients to streamline this process, reducing delays and ensuring timely submissions.
Required documents may include business model reviews, financial statements, compliance policies, and risk management frameworks. AML Incubator helps clients prepare the necessary documentation to ensure their application is complete and meets OSC requirements.
Yes, AML Incubator offers cross-jurisdictional expertise, supporting global firms seeking OSC registration. We ensure that international businesses meet both Ontario’s regulatory requirements and any applicable global standards, such as those from FINTRAC, MiCA, and VARA.
AML Incubator provides ongoing support to ensure your firm remains compliant after receiving your OSC license. Our services include compliance calendar management, periodic reporting, audit preparation, and integrating any changes in regulations to keep your operations in line with OSC standards.
AML Incubator supports early-stage firms, global entrants, and established financial institutions seeking to register or stay compliant with OSC regulations.
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