NSSC Blog: Before You Invest

Question of the week: How do I check the disciplined persons list?

Following last week’s rundown on how to check registration, we received similar requests to show how to check the CSA’s Disciplined Person’s list.

To start you first need to go to the CSA website, which can be found at www.securities-administrators.ca. At the top of the page you’ll see six tabs. Hover over the “Enforcement” tab and click on “Disciplined List.” That will take you here:

Question of the week: How do I check registration?

At the Nova Scotia Securities Commission we talk about checking registration a lot. We write about it. We Tweet about it. We talk about in presentations over and over. Checking registration is one of the safe guards we promote to anyone looking for, or currently working with an adviser. Even though we repeatedly mention it in our content, one reader wanted to know exactly how to do it and how to read the results of a check registration search.

Question of the week: What questions do I need to ask my new adviser?

When you’re choosing your investment adviser it should not be as simple as picking the first name that comes up in a Google search. You shouldn’t necessarily go with the first adviser you meet with either. We’re not saying that first adviser won’t be the right one, but don’t automatically go with the first one without doing your due diligence.

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