Who regulates stock brokers in ontario

By: GenXXX Date: 24.05.2017

While the vast majority of the stockbrokers, brokerage firms, investment advisers and investment adviser firms are honest and reputable, it pays to remember that just like many other professions, there are those individuals and firms who are not.

State and federal laws require brokers, advisers and firms to be registered or licensed.

Canadian securities laws require anyone trading securities, or in the business of advising clients on securities, as well as the company they work for to be registered with their provincial or territorial securities commission, unless a registration exemption applies. Free forex trading platforms securities regulators should be the first call for an investor before you turn over any money to a broker or investment adviser.

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You can access extensive employment, disciplinary, who regulates stock brokers in ontario registration information about your stockbroker or investment adviser through your state securities regulator. To find contact information for your state securities regulator, click here. On the Wm forex rates U.

Canadian securities regulation - Wikipedia

Resources Working with a broker? Ask for all materials from the Central Registration Depository CRD about your prospective stockbroker.

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This computerized database contains licensing and registration information on more thanstockbrokers. Using an investment adviser? Ask for all materials from the Investment Adviser Registration Depository IARD.

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The IARD has information on more thaninvestment advisers. Registration information from the Ontario Securities Commission OSC is not included in the national registration search, but is available through the OSC Registrant List. About the author The author didnt add any Information to his profile yet. Twitter Facebook StumbleUpon Digg Technorati Delicious.

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