Many people often ask how they can check whether an individual or firm is registered as a dealer and/or advisor in different jurisdictions in Canada. The simple answer is you can easily do this by checking the website of the Ontario Securities Commission (the OSC) for Ontario registrants and the website of the Canadian Securities […]
Is Your Dealer or Advisor Registered with a Canadian Securities Regulator? Better Check!
WARNING! OSC to Engage in “Mystery Shopping” – Dealers and Advisors Beware!
For Dealers and Advisors and their Representatives The Ontario Securities Commission (the OSC) has recently announced that it will engage in “mystery shopping” research involving dealers and advisors this fiscal year to gauge the suitability of advice currently being provided by registrants. The purpose of the research is to identify areas of concern that may […]