OSC | Investors - Tools & Resources

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	If the person or investment firm you’re dealing with is registered to sell investments or offer investment advice in Ontario
IIROC AdvisorReport	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
CSA Disciplined Persons List	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
Cease Trade Orders	if an individual and company is subject of a cease trade order prohibiting them from trading in specified securities over a certain period of time or prohibiting all trading in the securities of a particular company.
Investor Alerts	About possible harmful activity in progress
Warning List	If an individual or company appears to be engaging in activities that pose a risk to investors
Disclosure Documents	How to access key information about a public company or investment fund, and the securities it issues
Brochures	More about investing and how to protect your money
OSC Investor News	The latest updates on issues that matter to investors
Investor Education Fund	How to make better financial and investing decisions

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