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Brokerage Standards Manual

Notice of Change: Information in this manual changed when new agency and disclosure rules came into effect on June 15, 2018. Learn more about the new rules.

VII. Brokerage Office Business Practices

Changes In Information

During the licensing period, a brokerage may change a variety of things, from its name to the financial institution at which it conducts business. When certain information is changed, the licence of the brokerage may need to be amended. However, even when the licence will not be amended, the Rules still require that the Council be advised of the various changes in information. Brokerages and licensees should be aware of these requirements and advise the Council accordingly.