Securities regulators oversee Canada’s capital markets and the advisers who sell and manage investments. We can help you understand the laws and rules that govern the conduct of people under our jurisdiction.
Securities regulators can:
- help you find information about investment products and services;
- provide free resources to help you work with your adviser;
- tell you if an adviser or firm is registered in your jurisdiction and check their qualifications;
- tell you if an adviser has been subject to disciplinary proceedings and if there are any terms and conditions on their registration;
- answer your questions if you suspect a fraud or scam;
- advise you on your options if you are concerned that something has gone wrong with an investment;
- outline the steps you can take to file a complaint against an adviser or firm.
Securities regulators cannot:
- provide legal, investment or financial advice or counselling;
- reverse transactions, commissions or fees;
- force an adviser or firm to give your money back;
- negotiate a settlement or claim on your behalf;
- comment on the details of any ongoing local regulatory investigation.
Protecting your money: Avoiding frauds and scams ( PDF) – Download the full brochure to learn how to recognize and avoid frauds and scams.
NEW – Financial Concerns Checklist – Don’t be at risk of elder financial abuse. This checklist will help you start a conversation if you are concerned about the financial well‐being of your parents or a senior close to you, or if you suspect they may be suffering financial abuse. (PDF)
Investment fraud on the Internet(;PDF) – Learn to Spot the signs of online scams.
Boiler Room Scams – Could you be vulnerable? ( PDF) – Recognize the signs of the most common ways Canadians are approached with investment fraud.
Scam Artists Pursue Adults over 50 ( PDF) – Learn what to watch out for as you prepare for retirement.
Investor Alerts – Search or subscribe to the Investor Alerts to receive automatic email alerts when new content is added.
Cease Trade Orders – Search or subscribe to the National CTO Database to receive automatic email alerts when new content is added.
Disciplined List – Search the list for past and current disciplinary actions.
Are they registered? – Make sure the person or company you are dealing with is registered in your province or territory.