Registration protects investors like you from unqualified investment professionals |
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Did you know? Securities industry professionals are required to
register with the securities regulator in each province or territory where
they do business. This benefits investors of all skill levels, portfolio sizes and investing objectives: • Beginning and experienced • DIY’ers working on their own • Those working with a financial adviser or firm • Individuals and businesses |
THE NATIONAL REGISTRATION SEARCH TOOL ALLOWS YOU TO |
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Who Do You Trust? |
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Trust is an important part
of all relationships. Most relationships start with it, even in investing. |
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Shouldn't we all do our homework to better protect our financial futures? |
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SHARE WITH YOUR FRIENDS HOW YOU STARTED YOUR INVESTING JOURNEY |
Once you've checked registration, you're on your way to having |
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Here are three great tools to help you make the most of your relationship with a financial adviser or firm. |
Working with a Financial Adviser |
Has an Adviser Ever Been Disciplined? |
Did you know? Not all financial advisers and firms are the same. |
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There are lots of different titles and designations that a financial professional may have. But it is their category of registration that lets you know the range, breadth and depth of advice and products they can offer. |
WHAT CAN THEY SELL ME? |
Registration categories affect the products and services advisers can offer. |
An investment dealer can sell many types of investments, such as shares, bonds, and mutual funds. |
But |
A mutual fund dealer can sell only mutual funds. |
WHAT CAN THEY TELL ME? |
Registration categories affect the scope of advice they can provide. |
A portfolio manager is a business that gives advice and manages your portfolio according to your instructions. |
But |
A restricted portfolio manager is a business that is allowed to give advice on a particular industry such as oil and gas, biotech or real estate. |
The Canadian Securities Administrations and its 13 provincial |
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If you have any question about registration, adviser definitions or your investments adviser or firm, |
CSA SECRETARIAT |
Tour de la Bourse |
800, Square Victoria |
Suite 2510 |
Montreal, QC H4Z 1J2 |
TEL (514) 864-9510 |
FAX (514) 864-9512 |
EMAIL csa-acvm-secretariat@acvm-csa.ca |