Investors
Check Registration
In general, anyone selling securities, offering investment advice or managing a mutual fund in Ontario must register with the OSC, unless they have an exemption.
Individuals and firms are registered by category - each category has different requirements and permits different activities. Regulators may impose restrictions on a registration. These are known as “terms and conditions”.
Use Registrant Search below to find out:
- if a firm or individual is registered with the OSC
- what category or categories they are registered in
- if there are any terms and conditions on their registration
Be wary of investing with anyone who is not registered with the OSC or is not registered to provide the product or service they are offering. If you have questions about a registration or an exemption, contact us for assistance.
We have additional tools and resources to help you complete your background check and protect yourself against investment fraud.
Registrant Search
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- To search an individual name, use the format: "Last Name, First Name" - or search only by last name.
Example - Search - "Doe, Jane" - instead of "Jane Doe".
- Search queries are not case sensitive.
Example - searches for "john smith", "John Smith", and "jOhN sMitH" will all return the same results.
- Searching only an Individual Name OR only a Company Name will return more results.
Example - Using both search fields will narrow your search, but can also restrict the amount of results returned.
- Special search terms and characters cannot be used.
Example - Boolean terms (AND, NOT, OR) and Symbols (*, +, -) will restrict results.
- To use the “Terms and Conditions" search in Firefox Browser Versions 2.0+ please adjust the settings in your browser by following these instructions.
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Instructions to search the Registrants List in Firefox 2.0+ [close Firefox instruction]
1. Launch your Firefox browser. Select Help > Check for Updates. Install the latest update if any. The update may require you to restart Firefox.
2. Browse to the Registrants List page (After performing a search you may see the error: “Permission denied to call method XMLHttpRequest.open”)
3. If the error is present, please adjust your browser settings by typing “about:config” into your address bar.
4. Under the “Preference Name” column, change the value of ‘signed.applets.codebase_principal_support’ to “true” by right clicking the text and selecting “toggle”.
5. Return to the Registrants List page
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