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 registration||Check if the person or investmentInvestment An item of value you buy to get income or to grow in value.+ read full definition firm you’re dealing with is registered to sell investments or offer investment advice.|
|IIROC AdvisorReport||Background information on investment advisors regulated by the Investment Industry Regulatory Organization of Canada (IIROC)Investment Industry Regulatory Organization of Canada (IIROC) National self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.+ read full definition, including a record of an advisor’s qualifications and any disciplinary action taken by IIROC.|
|CSA Disciplined List||Information on individuals sanctioned by the OSCOSC See Ontario Securities Commission.+ read full definition 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 tradeTrade The process where one person or party buys an investment from another.+ read full definition 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.|
|Disclosure Documents||How to access key information about a public company or investment fund, and the securities it issues.|
|Investor News||Stay informed about the latest investor initiatives, educational resources, topical issues, key dates and investor warnings and alerts.|