List of investment dealers in canada

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Investment Associate — Lac Mégantic

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From: Canada Revenue Agency. This memorandum provides an overview of the treatment of taxable and exempt supplies of financial services by investment dealers. The products and services list is divided into two parts:. In each part, the products and services are briefly described. A number e. The classification of each product or service listed in this bulletin, as an exempt or taxable supply, is based on the Canada Customs and Revenue Agency’s CCRA’s understanding of the description of the products and services, and on the assumption each product and service for which a separate fee is charged constitutes a separate supply.

From: Canada Revenue Agency. This memorandum provides an overview of the treatment of taxable and exempt supplies of financial services by investment dealers. The products and services list is divided into two parts:. In each part, the products and services are briefly described.

A number e. The classification of each product or service listed in this bulletin, as an exempt or taxable supply, is based on the Canada Customs and Revenue Agency’s CCRA’s understanding of the description of the products and services, and on the assumption each product and service for which a separate fee is charged constitutes a separate supply.

The information in this memorandum does not replace the law found in the Excise Tax Act and its Regulations. It is provided for your reference.

Buys and sells debt securities on the secondary market as a principal for the broker’s own account. Interest is earned by holding these securities. A fee is not charged. Buys and sells equity securities on the secondary market as a principal for the broker’s own account. Dividends are received from holding these securities. Broker lends or borrows a financial instrument primarily to cover short deliveries.

A fee is charged for the service. Maintenance of a client’s account to which interest is credited at a prescribed rate in relation to any cash on deposit by a client.

The funds on deposit are payable on demand and may be used in the conduct of the brokerage business. Interest charged at prescribed rates for the lending of money to a client to finance a security purchase against acceptable collateral.

Client’s cheque returned NSF i. Client issues a cheque drawn on an account and subsequently gives instruction to stop payment on the cheque. Client asks broker to transfer an amount held by the brokerage firm to a bank account. Maintenance of a client account as described in E-7 that has seen no activity during a year. A fee is charged for the administration of the transfer.

Broker issues physical certificates to client in the client’s name at the time of a trade. An underwriting contract is an agreement, made before financial instruments are brought before the public, to the effect that the underwriter will assume all financial instruments that remain unsold after a public offering.

The underwriting contract may make provisions for the following. Broker transfers or registers a certificate to client’s name at the time of a trade. Service is performed on a priority, or rush, basis. The service of substituting cash with securities, either in or out of a self-directed RRSP, that involves the transfer of ownership from the individual to the trust or vice versa. A fee is charged for this service. Clients are provided with professional advice and research in the course of a contemplated merger or acquisition.

Clients are provided with advice in respect of various contemplated transactions other than for a merger or acquisition. Vault space rented to client to hold securities registered in client’s. Broker provides to client copies of statements or researches transaction for clients.

A fee is charged for service. Fee for administration and maintenance of a Provincial Stock Savings Plan. This includes the preparation of tax receipts, statements, and tax withdrawal reporting. Such a plan is accompanied by a trust in all provinces except Quebec.

However, the Quebec Stock Savings Plan involves an account that only holds eligible shares issued under the plan. The account cannot have a cash position. Administration related to a DAP settlement. Broker transfers a client’s security position to another financial institution. You will not receive a reply. Skip to main content Skip to «About government». Overview This memorandum provides an overview of the treatment of taxable and exempt supplies of financial services by investment dealers.

The products and services list is divided into two parts: I. Exempt Products and Services II. Taxable Products and Services In each part, the products and services are briefly described.

Disclaimer The information in this memorandum does not replace the law found in the Excise Tax Act and its Regulations. Exempt Products and Services Taxable Products and Services In each part, the products and services are briefly described. E-2 Buying and Selling of Equity Security Buys and sells equity securities on the secondary market as a principal for the broker’s own account.

E-4 Coupon Interest Long-term interest earned or short-term interest expense on debt securities. E-5 Securities Borrow-Lending Service Broker lends or borrows a financial instrument primarily to cover short deliveries.

E-6 Commission Revenue Broker buys or sells securities on behalf of a client. E-8 Margin Account Interest charged at prescribed rates for the lending of money to a client to finance a security purchase against acceptable collateral. E Stop Payment Client issues a cheque drawn on an account and subsequently gives instruction to stop payment on the cheque. E Wire Transfers Client asks broker to transfer an amount held by the brokerage firm to a bank account.

E Transactions in a Year Maintenance of a client account as described in E-7 that has seen no activity during a year. E Purchase «No-Load» Fund Fee for processing the trade to buy a no-load no commission mutual fund. E Physical Certification Broker issues physical certificates to client in the client’s name at the time of a trade. E Fees with respect to the underwriting of a Financial Instrument An underwriting contract is an agreement, made before financial instruments are brought before the public, to the effect that the underwriter will assume all financial instruments that remain unsold after a public offering.

The underwriting contract may make provisions for the following; Management Group Fees difference between the price of the security paid by the lead underwriter and the selling price to the Banking Group Banking Group Fees difference between the price of the security paid by the Banking Group and the selling price to «Defined Financial Institutions» and Selling Groups Selling Group Fees difference between the price paid to the Banking Group and the price charged to the retail investor and, a fixed fee based on sales volume of a new issue with the Selling Group member E Rush Transfers Broker transfers or registers a certificate to client’s name at the time of a trade.

E Transfers Broker transfers or registers a certificate to client’s name at the time of a trade. E Cheques issued on client account Service fee charge based on number of cheques issued on client’s account in any given period.

E Substitution The service of substituting cash with securities, either in or out of a self-directed RRSP, that involves the transfer of ownership from the individual to the trust or vice versa. Taxable Products and Services Number Item Description T-1 Mergers and Acquisition Fees Clients are provided with professional advice and research in the course of a contemplated merger or acquisition.

T-2 Advisory Fees Clients are provided with advice in respect of various contemplated transactions other than for a merger or acquisition. T-3 Portfolio Management Fees Clients receive professional investment portfolio management. T-4 Safekeeping charges Vault space rented to client to hold securities registered in client’s. T-5 Replacing a lost certificate Broker cancels or replaces a lost security certificate.

T-6 Search for records Broker provides to client copies of statements or researches transaction for clients. T Account Termination Fee Transfer of securities to another Financial Institution Broker transfers a client’s security position to another financial institution.

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Furthermore, members can also review the complete profile and history of investors and broker-dealers industry experience list of investment dealers in canada achievements, prior to selecting right source candidate. View on the map. Credential Securities Inc. Whether your company is pursuing to raise capital via debt offerings or equity finance opportunities, you can find qualified investors and broker-dealers that counterpart your business needs and requirements. With their comprehensive industry experience and market awareness, Canadian broker-dealers and investors are capable of providing investment funding along with the facilitation of business growth and enhancement.