Industry Search

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

• 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.

• IIROC Advisor Report

  The Investment Industry Regulatory Organization of Canada is a non-profit, national self-regulatory organization. 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.

• MFDA Advisor Report

  The Mutual Fund Dealers Association of Canada is a Canadian self-regulatory organization that provides oversight to dealers that distribute mutual funds and exempt fixed income products. Research the background, qualifications and disciplinary information regarding these dealers.

• 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 Issuers and Issuers in Default

  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.