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. 

 

Suggested Reading

Fortune Investment Group and five other names added to BCSC’s caution list

Investor Alert: Clients with online accounts at IDA member firms

BC Securities Enforcement Roundup – December 2013

More Resources

BC Securities Enforcement Roundup – December 2012

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BC Securities Enforcement Roundup and ICL

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 […]