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Do a Background Check

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When conducting a formal interview with an investment professional you are looking to hire, consider asking them the following questions:

  • What kinds of investment products are you registered to sell?
  • What professional qualifications do you have and what do they mean?
  • How long have you been advising clients on their investments?
  • Can you tell me about how you have worked with clients like me to achieve their financial goals?
  • How are you compensated and what fees do you charge?
  • Are you a good match for me?

Conduct a search on the Canadian Securities Administrators’ (CSA) National Registration Search.

The CSA’s Disciplined List contains the names of individuals and companies disciplined by securities regulators in Canada. View the CSA’s Disciplined list.

If you have any questions about how to do a background check, contact BC Securities Commission Inquiries.

Full Transcript

You should do a background check on anyone who claims they are registered to sell investments. You can complete a check in four simple steps. Step 1 – Use the Canadian Securities Administrators’, or CSA’s, National Registration...

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