Question 4:
If you feel uncomfortable with your investment advisor or the investment you are being offered you could:
Your answer is partially correct. Please try again.
Your answer is partially correct. Please try again.
Your answer is partially correct. Please try again.
Your answer is partially correct. Please try again.
Your answer is partially correct. Please try again.
Your answer is partially correct. Please try again.
CORRECT!
If you feel uncomfortable with your investment advisor or the product you are being offered you could do all of the above to protect yourself. Often, the names of individuals and products involved in a fraud will come up on internet searches. In addition to the items above, you can contact your dealer’s compliance department or call the MFDA to convey any concerns you may have. You can check whether an individual or firm is registered at www.aretheyregistered.ca. You can also find information on checking an individual’s or firm’s discipline history at www.mfda.ca/investors/advisor.html.
As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).
New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.
We have set up an interim website for updates and information related to the New SRO including:
Executive Management
Governance
New SRO Rules
Member Application
Investor Office and the Investor Advisory Panel
Information concerning mutual fund dealers registered in Québec
Complaints
Careers
Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.