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