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

Decisions & Orders at the ASC

 

What makes something an enforcement matter? What does it mean when a company is cease-traded? Not all decisions and orders of the ASC mean the same thing, but we can h​elp you understand the differences.

In this section you will find notices, decisions, orders and rulings that relate to:

  • enforcement matters including alleged and proved capital-market misconduct and related appeals;
  • issuer matters including disclosure filing deficiencies, exemptions for issuers and take-over bids; and
  • registrant matters including exemptions for applicants, exchange and self-regulatory organization issues and registration issues.


Enforcement Decisions & Orders

Check whether a company or individual offering an investment has been the subject of enforcement action.

See Notices, Decisions & Orders

File a Complaint

Are you concerned about the way your investments have been handled or about a company you have invested in, or do you believe securities laws have been breached?

File a Complaint