Ask the right questions and do basic research to help you make an informed decision.
Check Registration: An individual or firm selling securities or offering investment advice must be registered with the securities regulator in their province or territory to do so. Keep in mind that just because a person or company is registered doesn’t mean the investment is right for you.
Check Enforcement History: Be sure to look up current and previous enforcement proceedings, decisions, and orders to see if there is any disciplinary history for a company or individual offering you an investment.
Check News Releases and Search Online: The Internet is an easy way to check out an investment opportunity. Search key terms like “fraud” and the name of the individual/company offering you the investment to get instant access to news and other information you may want to further investigate.
- National Registration Search
- Decisions and Settlements
- Canadians Securities Administrators
- ASC News Releases
- Alberta Government Corporate Registry
- Reporting Issuers List
- Exempt Financing Transactions
- System for Electronic Document Analysis and Retrieval (SEDAR)
- System for Electronic Disclosure by Insiders (SEDI)
Protect your hard-earned money by being informed. Without taking the time to conduct proper research, you may be exposed to an unsuitable investment or fraud that could be financially crippling.
Once you’ve conducted thorough due diligence and have become informed about the potential investment, you can make an educated decision on whether to proceed with the final step – invest.