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.

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Advisor Misconduct

Communicate regularly with your advisor and ask questions if you have concerns.

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Investor Alerts

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

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