Regulatory Information
Last updated: March 2026
WaveFront Global Asset Management Corp. operates under regulatory oversight in Canada and the United States. The information below outlines our registrations and important jurisdictional considerations.
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Canadian Regulatory Status
In Canada, WaveFront Global Asset Management Corp. is registered with the Ontario Securities Commission (OSC) and other applicable provincial securities regulators in the following capacities:
- Portfolio Manager (PM)
- Commodity Trading Manager (CTM)
- Exempt Market Dealer (EMD)
NRD Number: 15860
These registrations permit WaveFront to manage investment portfolios, advise on derivatives and commodity trading strategies, and distribute certain exempt securities in accordance with Canadian securities laws.
U.S. Regulatory Status
In the United States, WaveFront Global Asset Management Corp. is a member of the National Futures Association (NFA) and is registered with the Commodity Futures Trading Commission (CFTC).
WaveFront is registered in the United States as a:
- Commodity Trading Advisor (CTA)
NFA ID: 0330993
Registration with the NFA and CFTC allows WaveFront to provide advisory services related to futures, options, and other derivative instruments in accordance with U.S. regulatory requirements.
Jurisdictional Restrictions
The information provided on this website is intended for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy securities in any jurisdiction where such offer or solicitation would be unlawful.
Certain investment products or services described on this website may not be available in all jurisdictions or to all investors. Investors should ensure they are permitted to access such information under the laws of their applicable jurisdiction.
Unless otherwise indicated, the information provided on this website is intended primarily for residents of Canada.
Important Notice
Registration with regulatory authorities does not imply a certain level of skill or training and should not be interpreted as an endorsement of WaveFront by any regulatory body.
Investors should review all relevant offering documents and consult qualified financial professionals before making any investment decision.
Important Legal Information
This website is provided for informational purposes only and does not constitute investment advice, a solicitation, or an offer to sell securities. Investors should consult qualified financial professionals before making any investment decisions.