Use these tools and resources to do a background check on the individual or firm you’re dealing with, and to learn more about investments and investing.
|Check if the person or investment firm you’re dealing with is registered to sell investments or offer investment advice.
|Background information on investment advisors regulated by the Investment Industry Regulatory Organization of Canada (IIROC), including a record of an advisor’s qualifications and any disciplinary action taken by IIROC. IIROC is now part of the Canadian Investment Regulatory Organization (CIRO).
|CSA Disciplined List
|Information on individuals sanctioned by the OSC and by other Canadian regulators. The OSC information dates back to 1997. Not all disciplinary actions are contained on this list, so check the CSA site to confirm what is included.
|Cease Trade Orders
|If an individual and company is subject of a cease trade order prohibiting them from trading in specified securities over a certain period of time or prohibiting all trading in the securities of a particular company.
|Investor Alerts & Warnings
|Learn about possible harmful activity in progress, and information about individuals or companies appearing to be engaging in activities that pose a risk to investors.
|How to access key information about a public company or investment fund, and the securities it issues.
|Stay informed about the latest investor initiatives, educational resources, topical issues, key dates and investor warnings and alerts.