Check Before you Invest

Know who you are dealing with

Make sure the individuals and companies you are dealing with are registered to sell securities and have not been disciplined for breaking laws.

• Financial Literacy Month

  “Money on your Mind. Talk about it!”

  Talking about money remains a taboo for many Canadians. People can find it difficult to discuss financial matters, such as personal debt, with family and friends. ​Many feel shame or embarrassment, or are worried about being judged.

   

  This November, FCAC is launching its Money on your Mind. Talk about it! campaign aimed at destigmatizing conversations about money by encouraging Canadians to share their financial experiences and ask questions.

   

  FCAC wants Canadians to take action in November by “doing one thing” to boost their financial confidence, such as checking their credit score, talking to a friend about budgeting, or asking questions to a trusted financial professional. During the campaign, Canadians can also engage in conversations on social media with the #MoneyOnYourMind challenge.

• Cease Trade Orders

  Search FCAA's Continuous Disclosure Cease Trade Order database to find Saskatchewan companies and individuals who have failed to comply with filing requirements. Search the Canadian Securities Administrators Cease Trade Order database to find companies and individuals who are not allowed to trade in securities and specific companies and individuals who can only trade certain securities.

• National Registration Search

  Search for information about registered firms and individuals.

• Disciplined Persons

  List of the names of persons disciplined by Canadian securities regulatory authorities.

• CIRO Advisor Report
  
  The Canadian Investment Regulatory Organization of Canada is a the pan-Canadian self-regulatory organization that oversees all investment dealers, mutual fund dealers, and trading activity on Canada's debt and equity marketplaces. Research the background, qualifications and disciplinary information regarding these advisors.

• Financial and Consumer Affairs Authority enforcement proceedings
  
  Check to see in an individual or company is or has been involved in enforcement actions in Saskatchewan.

• Financial and Consumer Affairs Authority Other Hearings
  
  Find information about proceedings before the Authority.

• SEDAR

  The System for Electronic Documents and Retrieval is the official site for the filing of documents by public companies as required by securities laws in Canada. 

• Reporting Issuer Listing, Issuers Reporting by Order and Issuers in Default Report

  Search for information about reporting issuers and issuers in Saskatchewan and whether they are in default of continuous requirements.

• SEDI

  The System for Electronic Disclosure by Insiders is the site where reports by insiders of public companies are filed.