Know your investment

• The BCSC's Disciplined Persons List  includes individuals who have been disciplined since 1987.  You can also use the Advanced Search  feature on the BCSC website to learn about actions against a company or individual.  Limit your search to 'Decisions & Orders' to view a list of all disciplinary actions against the name that you are researching.  Click the title to view the full text of each document. We include all decisions and orders going back to November 1996.

• The BCSC publishes an Investment Caution List  to warn investors about unregistered companies that have contacted B.C. residents to open brokerage accounts, or buy unqualified investments that may not comply with securities laws. The Investment Caution List does not identify all unregistered activity or unqualified securities being promoted in the province, so we encourage investors to immediately report any suspicious investment activity to the BCSC.

• Investment Industry Regulatory Organization of Canada (IIROC)  Here, you can learn about IIROC members and the role of IIROC in securities regulation. The Member Firm/Registrant Information Service  link on the home page includes an online Disciplinary Search  feature for finding IIROC disciplinary actions, and an Information Request Form  for obtaining registration status and past disciplinary information.

• Mutual Fund Dealers Association of Canada (MFDA)  Use the links on the left side of the MFDA Enforcement  page to view enforcement cases that relate to MFDA members.  The link to Completed Cases  will take you to a list of cases in alphabetical order.  Each case includes further links to published bulletins, news releases, notices, orders, decision, and reasons. You should also check Current Cases  and the Hearing Schedule .

• Market Regulation Services Inc. (RS)  regulates activity on the Canadian equity markets, including the TSX and TSX Venture Exchange. The Enforcement  section contains notices of hearing, settlement agreements, and decisions issued by RS. It also includes pre-April 2002 decisions from the Alberta Stock Exchange and the Vancouver Stock Exchange.

• Canadian Securities Administrators National Cease Trade Order Database  contains issuer (company) and non-issuer cease trade orders. Cease trade orders against a company usually indicate that the company has not met its filing obligations. The database includes all current outstanding cease trade orders issued by the regulatory authorities of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland & Labrador, Nova Scotia, Ontario, and Québec.

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Step 3 - Check the company's history