Professional or Non-professional?

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Professional or Non-Professional?

"Non-Professional" shall mean a natural person who is not a securities professional and who is acting in his/her personal capacity and not as a principal, officer, partner, employee nor agent of any business nor on behalf of any individual. This definition excludes brokers, dealers, investment advisors or persons otherwise employed by organizations conducting professional activities involving the buying and selling of instruments, such as stocks, bonds, options, futures contracts and other trading vehicles. Also excluded are persons engaged as consultants, independent contractors, software developers and others that use market information for any purpose for profit other than the trading of that person's personal account.

A Non-Professional cannot be registered or qualified with:
  • A provincial Securities Commission
  • Securities Exchange Commission
  • Commodities Futures Trading Commission
  • Any provincial, state or other government securities agency
  • Any securities exchange or association
  • Any commodities or futures contract market or association or other entity that performs functions that are equivalent to those of such Persons