Investor Education Month is coming to a close, and we are encouraging investors to make use of free online investor education tools that can help with finding and working with a registered financial adviser.
This month, the Canadian Securities Administrators added two new resources to its website to assist investors complete a background check and registration search – Check Before You Invest and Understanding Registration. The CSA has also refreshed its Working with a Financial Adviser brochure.
The CSA provides a ‘check registration’ webpage (www.aretheyregistered.ca) where investors can find:
- the National Registration Search – an online tool that makes checking your financial adviser’s registration quick and easy
- Understanding Registration – a resource that helps investors understand the results of their search
- Check Before You Invest – a workbook that people can use to record results of their background research
- Working with a Financial Adviser – an updated brochure that walks investors through the steps they should take when considering and working with a financial adviser
Canadians should also watch for investor education tweets on @CSA_News for helpful tips and information.
We’ve also posted the new CSA materials on InvestRight. You can get them in the Tools for Investors section of the website. Check out our other investor education tools while you are there too.
In December 2012, the British Columbia Securities Commission issued two notices of hearing, one liability and sanction decision, one sanction decision and two settlement agreements. The Commission also issued one decision on jurisdiction and an Investor Alert. During December 2012, IIROC released one settlement agreement relating to a BC headquartered corporate registrant. The MFDA […]
In September 2012, the BC Securities Commission issued one notice of hearing and announced a Supreme Court of Canada decision upholding a commission decision. BCSC staff also added three companies to the Investment Caution List. During September 2012, neither IIROC nor the MFDA released any decisions against registered individuals in BC. Supreme Court of Canada […]