Investors
Tools & Resources
Use these tools and resources to do a background check on the individual or firm you’re dealing with, and to learn more about investments and investing.
| Click on the link below |
To find out |
Check Registration
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- If the person or investment firm you’re dealing with is registered to sell investments or offer investment advice in Ontario
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IIROC AdvisorReport
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- Background information on investment advisors regulated by the Investment Industry Regulatory Organization of Canada (IIROC), including a record of an advisor’s qualifications and any disciplinary action taken by IIROC
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CSA Disciplined Persons List
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- Information on individuals sanctioned by the OSC and by other Canadian regulators. The OSC information dates back to 1997.
- Not all disciplinary actions are contained on this list, so check the CSA site to confirm what is included
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| Investor Alerts |
- About possible harmful activity in progress
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Warning List
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- If an individual or company appears to be engaging in activities that pose a risk to investors
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Disclosure Documents
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- How to access key information about a public company or investment fund, and the securities it issues
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Brochures
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- More about investing and how to protect your money
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OSC Investor News
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- The latest updates on issues that matter to investors
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Investor Education Fund
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- How to make better financial and investing decisions
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