Check Before you Invest

Know who you are dealing with

Make sure the individuals and companies you are dealing with are registered to sell securities and have not been disciplined for breaking laws.

• Cease Trade Orders
  Search FCAA's Continuous Disclosure Cease Trade Order database to find Saskatchewan companies and individuals who have failed to comply with filing requirements. Search the Canadian Securities Administrators Cease Trade Order database to find companies and individuals who are not allowed to trade in securities and specific companies and individuals who can only trade certain securities.
   

• National Registration Search
  Search for information about registered firms and individuals.
   

• Disciplined Persons
  List of the names of persons disciplined by Canadian securities regulatory authorities.
   

• CIRO Advisor Report
  The Canadian Investment Regulatory Organization of Canada is a the pan-Canadian self-regulatory organization that oversees all investment dealers, mutual fund dealers, and trading activity on Canada's debt and equity marketplaces. Research the background, qualifications and disciplinary information regarding these advisors.
   

• Finanacial and Consumer Affairs Authority Consumer and Investor Alerts
  A list of consumer and investor alerts issued by the FCAA.
   

• Financial and Consumer Affairs Authority Enforcement Proceedings
  Check to see in an individual or company is or has been involved in enforcement actions in Saskatchewan.
   

• Financial and Consumer Affairs Authority Other Hearings
  Find information about proceedings before the Authority.
   

• Reporting Issuer Listing, Issuers Reporting by Order and Issuers in Default Report
  Search for information about reporting issuers and issuers in Saskatchewan and whether they are in default of continuous requirements.
   

• SEDAR
  The System for Electronic Documents and Retrieval is the official site for the filing of documents by public companies as required by securities laws in Canada. 
   

• SEDI
  The System for Electronic Disclosure by Insiders is the site where reports by insiders of public companies are filed.