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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:
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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.
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Earlier this week we received a call from a concerned investor who did not find her adviser when she went to check his registration. Was her adviser selling or advising on securities without being registered? The answer actually was no. The reason – he was selling segregated funds.
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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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In our previous blogs posts we’ve tackled questions about what is a registered adviser, how to find the right adviser, what to do if you have problems with your adviser and
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According to the Canadian Securities Administrators (CSA) registrant misconduct is a violation of securities laws by a registered person or company. It can also include misconduct to fail to register or to fail to adhere to the conditions of a registration exemption.
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April 4 – What is Market Manipulation?
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So far our Fraudster Friday series have focused on some of the most famous fraudsters in history. You may not have known all the details behind the names Ponzi, Madoff and Bre-X, but most people have heard of them.
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Illegal insider trading is the buying or selling of securities while possessing undisclosed material information about a company or fund. This material information could include financial results, operational events, management changes or other information that may impact the price.
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Bertram Earl Jones ran a Ponzi scheme for decades in Quebec that cost his victims, including members of his own family, a reported $51.3 million Canadian.
In 1979 Jones began his own investment advising business. At the time he did not register with any securities regulator and he never would. Jones would go about offering investment advice and claim to sell securities unregistered for 30 years.