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Joint Forum Guide for Consumers: Seeking Compensation
This section contains frequently asked questions about investing and the securities industry. If you can’t find the answer to your question here,
FAQs for Investors
How do I find out if an investment qualifies as an RRSP investment?
What types of investments can I hold in a Registered Education Savings Plan (RESP)?
Working with a Dealer or an Adviser
How do I find out if my dealer or adviser is registered?
What do I need to know about working with a discount broker?
Can the OSC help if I have an issue with the fees my dealer or adviser charges?
Can my adviser make trades in my account without my permission?
I spend each winter down south. Why can’t my dealer in Ontario process any trades for me while I’m away?
Investing in a Public Company
How do I know if a company is a public company in Ontario?
Where can I find more information about a public company?
Where can I find insider trading reports?
What does it mean if a public company has a cease trade order (CTO) issued against it?
What do I do if I own shares in a company that has a cease trade order (CTO) issued against it?
How do I know when a cease trade order (CTO) has been revoked?
What rights do I have as a shareholder in a public company?
How do I know if a share certificate has any value?
How do you know when an investment opportunity might be a scam?
Why won't the OSC tell me when it’s investigating a specific individual or company?
Receiving Calls from the OSC Regarding Compliance Reviews of Securities Dealers and Portfolio Managers
Why has the OSC called me about my dealer or portfolio manager?
Does the fact that I have been contacted by OSC staff mean that there is a problem with my dealer or portfolio manager?
Do I have to speak with the OSC as part of their compliance review if I do not want to?
What will the OSC ask me?
What will the OSC do with the answers I provide?
Will the answers I provide to the OSC be kept confidential?
Will I be able to obtain information about my dealer or portfolio manager’s compliance review?