Background check
Print this page Reduce text size Increase text size

Background check 

Check out your potential investments with ASC to lessen financial risk. ASC provides daily updates on issuers whose trade practices are or have been under investigation, or who have been issued a cease-trade order. The more you know, the better you can invest.

Your questions

Where to look on the ASC site

Basics and First Steps

How do I choose an investment adviser?

How Do I?

Is an individual or firm registered?

Confirm Registration

Has a company or individual been mentioned in ASC news recently?

News Releases

Has the ASC received all the appropriate information that a company is required to file?

Securities Distributions and AIF

Considering an Investment?

Does the company or individual have any enforcement proceedings that I need to know about?

Decisions and Orders

I don’t see a company’s name on the Reporting Issuers list.  How do I know if a company is relying on an exemption from regular filing requirements?

Exempt Financing

How can I see if a “purchaser” has been granted an “exemption”?

Exempt Purchasers

How can I find out more about a “decision” that was made about a particular company or individual?

Decisions and Orders

Is a company in good standing with the ASC? (have they been in default or been issued a Cease Trade Order?)

Reporting Issuers List

Are there any companies that are being investigated that I should know about?

Hearings

Other Helpful Resources

Check First

Where to get information

See if a company is registered to do business in Alberta.

Alberta Government Corporate Registry

Access the Canadian regulators’ central database for cease trade orders (CTOs).

CSA (Canadian Securities Administrators) National CTO Database

Research the background, qualifications and disciplinary information on advisors at IIROC-regulated firms. 

Investment Industry Regulatory Organization of Canada (IIROC)

View scheduled hearings and member lists.

MFDA (Mutual Fund Dealers Association of Canada)

Find names of all participating firms in OBSI and their conflict resolution obligations.

(OBSI) Ombudsman for Banking Services and Investments

Check the credibility of public company information.  Access full-text copies of filed public documents.

SEDAR (System for Electronic Document Analysis and Retrieval)

Check out insider reporting.

SEDI (System for Electronic Disclosure by Insiders)