Independent Planning Group

 

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Consumer Protection

In general, anyone selling securities, offering investment advice or managing a mutual fund must register with the provincial securities commission for the province(s) in which the investor/client resides, unless they have an exemption.

Individuals and firms are registered by category. Each category has different requirements and permits different activities. Regulators may impose restrictions on a registration. These are known as "terms and conditions".

We encourage you to go to the following provincial securities commission websites to determine:

  • if a firm or individual is registered
  • what category or categories they are registered in
  • if there are any terms and conditions on their registration

www.osc.gov.on.ca - go to bottom right "Check Registration"
www.lautorite.qc.ca - go to top left "View the Register of Firms and Individuals Authorized to Practice"
www.investright.org - Investor Education Program (also offered through www.bcsc.bc.ca)

Be wary of investing with anyone who is not registered with the provincial securities commission or is not registered to provide the product or service they are offering. If you have questions about a registration, contact our compliance department at 613-738-3388 for assistance.