Venture Capital Registration Kit


Introduction

Venture Capital Corporations (VCC) and Venture Capital Management Corporations (VCMC) as specified in the third column of Part 2 of Schedule 4 of the Capital Markets and Services Act 2007, may only deal in securities in relation to the investment made by the Venture Capital Corporation and Venture Capital Management Corporation.

Corporations seeking to qualify as a Venture Capital Corporation and Venture Capital Management Corporation. Must apply to be registered with the CODT and comply with the provisions of the Guidelines for the Registration of Venture Capital Corporations and Venture Capital Management Corporations (the Guidelines).

At the time of registration, the applicant must have at least one designated person, who shall be fit and proper for the position.

Periodical Reporting

A Venture Capital Corporation or Venture Capital Management Corporation is required to submit its annual periodic report to the CODT, within 30 days from each year-end in the manner provided for under Form 3 - Annual Activity Report for Venture Capital Corporations and Venture Capital Management Corporations.

A Venture Capital Corporation or Venture Capital Management Corporation is also required to submit its latest audited financial statements to the CODT, within three months after the close of each financial year.

How to Register

All applications for registration must be lodged with the CODT using the forms prescribed by the Guidelines at the following address:

Licensing Department

Applicants are required to file the forms in both hard and the soft copies.

Registration Kit

The Registration Kit contains the following materials and can be requested by contacting our customer representative:

Guidelines for the Registration of Venture Capital Corporations and Venture Capital Management Corporations

  • Form 1 - Application for the Registration of Venture Capital Corporations and Venture Capital Management Corporations
  • Form 2 - Application for the Registration of Designated Person(s)/Director(s) of Venture Capital Corporations and Venture Capital Management Corporations
  • Form 3 - Annual Activity Report for Venture Capital Corporations and Venture Capital Management Corporations
  • Checklist for the Registration of Venture Capital Corporations and Venture Capital Management Corporations
  • Checklist for the Registration of Designated Person(s)/Director(s) of Venture Capital Corporations and Venture Capital Management Corporations

How to Obtain the Registration Kit

The Registration Kit can be purchased by mail order. All cheques/postal orders should be made in favour of "Canadian Office of Derivative Trading" and posted to the above address.

The information presented in the Lists is current as at 31 January 2009.

Registration Kit

  • List of Registered Venture Capital Corporations
  • List of Registered Venture Capital Management Corporations