Know Who to Call for Help

Securities regulators oversee Canada’s capital markets and the advisers who sell and manage investments. In Canada, the provincial and territorial securities regulators and the self-regulatoryreading organizations register firms and individuals in the securities business.

As regulators, we can help you understand your rights as an investor, and the laws and rules that govern the conduct of people under our jurisdiction.

As an investor, you have the right to expect that the securities dealers and advisers who handle your investments will obey the rules, always act in your best interest and treat you fairly. You can rely on your local regulator to look into legitimate complaints about the conduct of a dealer or adviser (or of anyone engaged in market activities) under our jurisdiction. 

How Your Regulator Can Help:

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 

Visit  Who to Call  to visit the website of the securities regulator in your province or territory.