Questions and Answers
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Complaints
- Can my registered representative buy and sell securities in my account without first obtaining my permission to do so?
- How can I obtain information about public companies, brokers, and other securities market participants in British Columbia?
- I want to know what I can do to stop receiving spam messages. I keep getting unsolicited spam messages every other day that direct me to look at, or invest in, a company’s stock.
- If I file a complaint with the BCSC, when can I expect by notified of the outcome by the BCSC?
- My broker was too slow in executing my trade order. What can I do?
- What do I do if I have a complaint against my mutual fund dealer or salesperson?
- What do I do if my registered representative invested all of my money in one risky stock, which has since declined in value?
- What does the BCSC do when it receives a complaint?
- What information should I include in my written complaint to the BCSC?
- What is the BCSC unable to do when it receives a complaint?
- What should I do if I have a complaint against my securities salesman?
- Who do I contact if my investment account is not transferred to my new dealer as requested?
Inquiries
- How can I find out who the Transfer Agent is for a publicly traded company?
- How can I obtain information about public companies, brokers, and other securities market participants in British Columbia?
- I recently moved my RRSP account to a new financial institution and requested my mutual funds transferred into my new RRSP account. How long do dealers have to make this transfer?
- If the BCSC has issued a cease trade order against a company, can a British Columbia resident trade in the securities of that company while the cease trade order is in place?
- Is a registrant allowed to pay or receive referral fees?
- What information is a registrant required to obtain before opening a client account?
- What is a Transfer Agent?
- What is an Investment Fund?
- What is the role of a Transfer Agent?
- Who regulates Transfer Agents?
- Who should I contact if I have a problem with a Transfer Agent?
Investor Protection
- I have been solicited by someone I don't know to assist in the transfer of millions of dollars from a foreign bank account. I have been promised a percentage of the funds. Is it a legitimate proposal?
- I invested in a company I heard about through a friend of a friend, after being told that it would soon be going public; however, nothing has happened. Have I lost my money?
- I invested in a company I read about in an Internet chat room. The posters claimed that the share price would 'go through the roof'; however, the share price has since declined. What should I do?
- I received an unsolicited call from someone who used high pressure sales tactics to persuade me to invest in a company. What should I do?
- Should I invest in an offshore 'high yield bank debenture program' that promises huge returns? To participate in this program, I must sign a non-disclosure agreement. Is this legitimate?
- What is the Canadian Investor Protection Fund?
- What is the Investor Protection Corporation?
- What should investors be aware of regarding hedge funds?
Shareholders
- Can a client request that a registrant provide information about its financial condition?
- I have not received my share certificate from a company that I invested in. What should I do?
- What should I do if I have not received any shareholder or proxy-related materials from a company in which I hold shares?
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