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谁需要拿券商执照？

谁需要拿券商执照？ https://jhwbizlaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Jiang Hong Wilkin Business Law Jiang Hong Wilkin Business Law //jhwbizlaw.com/wp-content/uploads/2020/07/jhw-logo.png 11月 16, 2020 11月 26, 2020

有些朋友拉自己的客户，朋友或关系去投资某个项目买股票，然后拿介绍费。这种事情在安省要有券商(dealer)资格才可以做的。安省证券法规定所有做资本市场中介行业的人必须要有券商执照。这里最基本的券商执照叫豁免市场券商(EMD-exempt market dealer). 有了EMD就可以正大光明的拿豁免融资佣金了。没有执照拿佣金是有很大违法风险的。这要求不仅使用于帮上市公司融资，就是帮私立公司融资也是这样，因为私立公司的股票也是证券。

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Thank you for considering Hong Wilkin Business Law Professional Corporation ("JHW") as your business law counsel. We have extensive experience in business law, and we look forward to the opportunity to work with you. We would be pleased to represent you and your affiliates (collectively, the "Client") in business law matters. 谢谢考虑用蒋虹商务法律专业公司（"蒋商律"）作为客户的商业法律师。我们在各方面的商业法有深广的经验, 并且盼望与客户这次工作机会。我们很高兴为您与您关联体（一起，"客户"）提供商业法的服务。

The following is a summary of certain of our firm’s policies which are applicable to this matter. 下列是本所对此项目可适用的政策。

Scope of Authority权限的范围
So long as this retainer continues, we have authority to act for you in connection with Canadian business matters. Except where you have specifically instructed otherwise, and without further instructions, we may take all steps reasonably necessary to further and protect your interests. 在客户聘用本所期间，我们将代表客户办理与客户加拿大业务相关的商业法方面的事宜。作为客户在加拿大的法律事务代理，我们有义务采取必要的步骤促进和保护客户的利益，但是这些步骤将在明确知会您并且取得您的同意的前提下进行。

Billings and Retainers 服务费用
Our fees will be based on the hours spent on the work, multiplied by the hourly rates of the lawyers. The amount of the fees may vary depending on the complexity of the project, the amount of documents subject to review and the nature and the extent of the negotiations between the parties. 我们的费用将根据花在工作上小时数，乘以律师每小时费率。费用高低根据项目的复杂程度，受审查文件的数量，和与对方之间谈判的性质和程度而定。

One of the main components of our fees is the applicable hourly rate for the lawyers involved in this matter. The hourly rate is a reflection of the lawyer’s seniority, expertise and experience. These rates are normally adjusted in January of each year. 我们的收费主要成份是律师的小时费率。小时费率是律师的资历、专门技术和经验的反映。小时费率在每年一月通常被调整。附表"A"是将为客户项目工作的律师的名单和目前的小时费率。

We have the right to require an initial retainer upon signing this retainer agreement. We will invoice you for the work done using the retainer amount and have the right to require further retainer payments. Our invoices are payable in 30 days. Any balance of our fees and disbursements shall be payable on the earlier of the completion of the project or three months after the suspension or termination of the project. 我们签此合同时有权要求客户付给本所定金。开工后我们会给客户发使用定金的费用账单, 而且我们有权利要求新的定金。我们的账单需要30日内付款。所有没付的的费用和支出将是项目完成时付，或者项目停止或终止后三个月之内结算付款。

The fees and fee estimates do not include applicable taxes and disbursements. All expenses, including regulatory filing fees, external translation costs, printing or other extraordinary expenses, will be charged separately. 我们的律师费和估计数据不包括可适用的税和支出。所有支出费用，包括政府收费、外部翻译费用、打印或者其他非常费用，将分别地发单。

Would you please sign the confirmation section below and return it to us. Should you require any additional information, please contact the undersigned. 请您在下面确认部分签字，然后把签好的合同发回给我们。如果您需要其它信息，请与我联系。

SCHEDULE "A"
附件"A"

Lawyer律师 2020Hourly Billing Rate
2020小时费率

Judith Hong Wilkin 蒋虹，21年经验: C$560
Clerk律师助理: C$210
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235 Yorkland Blvd., Suite 802, Toronto, Ontario M2J 4Y8
(416) 800-8697
info@jhwbizlaw.com

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Monday to Friday: 10:00am to 6:00pm

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