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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

Frequently Asked Questions

Have questions about investing? Don't worry, you're not alone. Here are some of our most frequently asked questions - read on to get some answers.

Complaints FAQs​

  1. What do I do if I just signed up for an investment with a company or adviser that I no longer feel comfortable with? Do I have any recourse?
  2. How do I make a complaint to the ASC?
  3. What does the ASC do when it receives a complaint?
  4. If I file a complaint with the ASC, when can I expect to receive notification regarding the outcome?
  5. How do I find out if there have been complaints or investigations about an individual or company?
  6. Can I make an anonymous complaint?
  7. How long do I have to make a complaint to the ASC?

Advisers FAQs

  1. What do I do if I just signed up for an investment with a company or adviser that I no longer feel comfortable with?
  2. I have a complaint against my investment dealer, adviser or mutual fund salesperson. What do I do?
  3. My financial adviser has requested that I provide him with personal financial information. Do I have to give it to him?
  4. My financial adviser invested all of my money in one risky security, which has since declined in value. What should I do?
  5. My financial adviser bought and sold securities in my account without first obtaining my permission to do so. What should I do
  6. What should I do if my financial adviser did not place my order when I told him to do so?
  7. A few weeks ago, I requested my investment account be transferred to my new dealer; however, the transfer has still not taken place. What should I do?
  8. How can I find out if an adviser is registered?
  9. What is a broker?
  10. My financial adviser convinced me to engage in a “leveraging strategy”. Now I owe money on investments that have declined in value. What can I do?

Companies FAQs

  1. I believe that I have been approached about an investment scheme that appears to be fraudulent and possibly illegal. What should I do?
  2. I heard that a company I am thinking about investing in is named in a Cease Trade Order. What does this mean and what impact will it have on me being able to buy the shares of this company?
  3. A company that I invested in was supposed to go public, but I haven’t heard anything. What happens?
  4. What should I do if I have not received my share certificates from the publicly traded company I invested in.
  5. What should I do if I have not received any shareholder or proxy-related materials from the company in which I hold shares?
  6. How do I know if my share certificate has value?
  7. What rights do I have as a shareholder?
  8. Where can I find information about a company?
  9. How can I find out if a company is in compliance with securities laws and disclosure requirements before investing?

Other FAQs

  1. Can the ASC get an investor's money back?
  2. What is insider trading?
  3. How do I receive a copy of the transcript from an ASC hearing?

Taxes FAQs

  1. Are there any special taxes or breaks in investing here that are not in other provinces?
  2. Where can I find out more about RRSPs and TFSAs and whether they are right for me?

General Investing FAQs

  1. The current economic climate has made me wary to invest - is it a good time to be investing?
  2. What is the average rate of return that I should expect?
  3. Can the ASC give me advice on what stocks to pick?
  4. Does the ASC oversee any real estate development or financing?

Being approached/ Making decisions FAQ

  1. I’ve recently been approached by email to invest in an incredible deal on a low priced stock. What information can you provide? Is this a potential scheme?
  2. What fees do I need to be aware of when creating my portfolio?
  3. What are some good online resources to help investors pick out and track my investments?

About the ASC FAQs

  1. How is the ASC funded?
  2. Does the ASC have authority only within Alberta?

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