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

File an Investor Complaint

If you have serious concerns about how your investments or securities have been handled, a company you have invested in, or you believe a company or individual has breached securities law, you can make a formal complaint with the ASC.

Can the ASC get an investor’s money?

The ASC does not order restitution to get investors' money back for them - that would have to be done via the courts. If an investor has lost money due to a violation of securities law, they should obtain legal advice to determine what options - such as the civil courts - are available to them.


What is your complaint about?

If your concern is with:


Make a complaint to the ASC

If you would like to send a complaint to the ASC you must include enough details so we can determine what actions might be necessary.

Please fill out the online form. Please be prepared to explain:

  • What your complaint is about.
  • When the incident took place (dates, times etc).
  • The steps you have taken during the course of the situation.
  • Names and addresses of those involved, and your relationship to the company or individual at the source of the complaint.
  • If you have any copies of letters, cancelled cheques, account statements, or other documents that will help explain your complaint and support your statements. You may be asked to provide these hard copy documents at a later date.
  • Other relevant information that would be helpful to better understand your concerns.

Find out more about making a complaint