Brokers/financial advisers – Would you trust your physical health to an unlicensed physician? Then, why trust your financial well-being to an unregistered securities “professional”? Dealers and advisers are required to be registered with local and federal regulators.
Investment products – Some investment products must be registered with the provincial regulator where they are offered and sold. Always check with your adviser or regulator to make sure your investment funds are being placed in a legitimate investment product.