SIPA is currently updating the information for this page. As the National Registration Database has been revised, we are re-assessing our Guidelines.

The first step with any complaint is to check your registered representatives registration classification. The CSA Secretariat advises that this should be done with the provincial securities administrator.

A list of provincial and territorial regulators is provided on our Regulators page.

You must find out whether your representative has a legislated fiduciary duty or requirement to look after your best interests. If he does not, you should seek one that does have a responsibility to look after your best interests.

You should be aware that most representatives titled "Financial Advisor", "Vice President" or many other titles are in fact commission sales persons who do not have a requirement to look after your best interests.