What will the OSC ask me?

OSC staff will ask you a variety of questions regarding your relationship with your dealer or portfolio manager. OSC staff will usually ask about the accuracy of information that the firm has on file about you relating to your investment objectives, called “know your client” information. OSC staff may also ask you about advice your dealer or portfolio manager gave you in relation to your purchase of a particular security.

OSC staff would never ask for your social insurance number, birth date, address or account number(s). If you are called by someone who asks you for this information please do not provide it to them, even if they say they are from the OSC. Please record the time and date of the call (and the phone number the person is calling from if available) and report it to the OSC.