Types of Misconduct

It is important for investors to be able to recognize and report the different types of misconduct in order to protect themselves from situations or individuals that may put their savings at risk.

Market Misconduct

Securities regulators in Canada investigate and prosecute suspected capital
market misconduct. Learn more

Advisor Misconduct

To protect your investments, you should
communicate regularly with your advisor
and ask questions if you have concerns.
Learn more


Investor Alerts

Investor Alerts assist people in doing their
due diligence when making investment
decisions. Learn more