AMLI Securities OSC Registration & Compliance Services

Overview - Expert OSC Compliance Solutions

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.

Secure Your OSC License with Expert Registration Support

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.

Registration Categories Covered - Expert Support for OSC Registration Categories

Investment Dealer

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.

OSC and CIRO registration filings (Forms 33-109F6 & F4)

Business model validation and regulatory fit review

Capital requirement and E&O insurance advisory

CIRO membership coordination

Internal policy development (KYC, suitability, conflicts of interest)

Optional: Outsourced CCO and CAMLO services

Suitable for: Broker-dealers, full-service trading firms, and multi-asset platforms.

Exempt Market Dealer (EMD)

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.

Eligibility assessment and business model alignment

NRD setup and registration form submissions

Offering memorandum and disclosure documentation review

AML/ATF program development

Post-registration reporting and audit preparation

Suitable for: Private issuers, real estate funds, crypto token sales, and early-stage fintechs.

Mutual Fund Dealer

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.

Dual-registration with OSC and CIRO

Suitability framework design (KYC/KYP)

Insurance, capital, and liquidity planning

Client relationship and disclosure documentation

Annual compliance reviews and staff training

Suitable for: Wealth managers, mutual fund sales representatives, and fund distributors.

Portfolio Manager

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.

OSC registration under NI 31-103

Proficiency validation for advising representatives

CCO and UDP designation and training

Investment management policies and supervisory procedures

Risk controls and conflict of interest frameworks

Optional: Compliance outsourcing and audit readiness services

Suitable for: Robo-advisors, independent asset managers, and wealth advisory firms.

Investment Fund Manager (IFM)

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.

Registration submission and OSC engagement

Fund administration documentation (custodian, registrar, auditor)

Policy development for NI 31-103 and NI 81-102 compliance

Capital requirement calculation and documentation

Conflicts of interest management

Optional: Multi-jurisdictional support (e.g., Cayman, MiCA, VARA)

Suitable for: Hedge funds, VC funds, pooled investment vehicles, and family offices.

Core Features of Every Engagement - Key Features of AMLI OSC Registration Support Services

All OSC service packages include:

Pre-registration business model review

Registration form preparation and NRD submission

Documentation for compliance, operations, and governance

Interaction with OSC staff during the review period

Ongoing compliance calendar and reporting support

Integration with FINTRAC, CIRO, and CSA expectations where applicable

Key Differentiators - What Sets AML Incubator OSC Registration & Compliance Services Apart

Flat-Fee or Milestone-Based Pricing: Transparent pricing with no hidden fees.

Regulatory Tech Stack: Automated form generation and secure document portals.

Optional CAMLO & CCO Outsourcing: Immediate access to qualified officers.

Cross-Jurisdictional Expertise: Support for dual compliance with OSC, CIRO, FINTRAC, and global regimes (e.g., MiCA, VARA, CIMA).

Next Steps - Get Started with Your OSC Registration Today

AML Incubator supports early-stage firms, global entrants, and established financial institutions seeking to register or stay compliant with OSC regulations.

Frequently asked questions

Who needs to register with the OSC?

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.

How long does the OSC registration process take?

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.

What documents are required for OSC registration?

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.

Can AML Incubator help with OSC registration for global firms?

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.

How can AML Incubator assist with post-registration compliance?

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.

any other QUESTIONS?

If you have questions, we have answers for you here. In case we don’t, please feel free to reach out to us here hello@amlincubator.com
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