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CRM2 Video Series: What to Expect from Your Advisor

BCSC InvestRight video sets out items that your advisor must include in client relationship documents you receive when opening an investment account.

Our video called “What to Expect from Your Registered Investment Advisor” sets out new items that your advisor must include in client relationship documents you receive when you open an investment account.

Generally, an investment advisor must include anything of interest to a reasonable client. These include:

  • the possible types of accounts, such as cash, margin, or registered accounts
  • the services your advisor’s firm can provide, such as selling or advising on investments
  • the types of investments your advisor’s firm can provide, such as stocks, bonds, and mutual funds
  • various types of risks, such as market value changes and interest rate changes
  • conflicts of interest between your advisor’s firm and you, such as selling you securities of the advisor’s firm or in which the advisor or firm has an interest
  • fees and other charges you will pay for operating your account, such as operating and transaction charges

If you have any questions about the information in your relationship disclosure document, talk to your advisor until you understand the information you have received.

Report a Concern

If you have any concerns about a person or company offering an investment opportunity, please contact BCSC Inquiries at 604-899-6854 or 1-800-373-6393, or through e-mail at [email protected]. You can also file a complaint or submit a tip anonymously using the BCSC’s online complaint form.

InvestRight.org is the British Columbia Securities Commission’s investor education website. Subscribe to receive email updates from BCSC InvestRight.

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