NSSC Blog: Before You Invest

Question of the week: What are embedded commissions?

You may have heard the term embedded commission in the news recently. Following the release of CSA Notice 81-330, embedded commissions have been the talk of business and investing news programs and online, through news sites, social media and investment forums. The discussions and talks are helpful because it makes sure investors are informed about what is happening in the industry.

World Elder Abuse Awareness Day – June 15, 2018

First observed by the United Nations in 2012, World Elder Abuse Awareness Day recognizes that nearly every country across the globe will see a substantial growth in the number of older persons in the next decade. With the population of older persons increasing it unfortunately also leads to an increase in the amount of elder abuse.

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.

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