Investment Caution List
The ASC’s Investment Caution List is a regularly updated database that identifies individuals, companies, and websites that may pose high risk to investors.
Entities included on the Investment Caution List may be involved in:
Operating without registration: Firms or individuals not registered with the ASC are not authorized to offer or sell investment products or services to Albertans.
Fraudulent schemes: Individuals, firms or platforms may be involved in conduct that violates Alberta and/or Canadian securities laws.
Review the ASC’s Investment Caution list for any individual, firm or platform you plan to work with.
Investor Alerts & News Releases
To better inform and protect investors, the ASC regularly issues investor alerts and news releases on ongoing investment scams, emerging trends and market misconduct that can harm Albertan investors.
These alerts and releases provide:
Timely information: Stay up-to-date about unregistered firms or platforms offering investment services in violation of Alberta and/or Canadian securities regulations or enforcement actions that the ASC has taken to address market misconduct.
Market misconduct/scam awareness: Learn about emerging investment scams, companies making false or fraudulent investment claims, and how the ASC is disrupting fraud and holding bad actors accountable in the Alberta market.
Subscribe to the ASC’s Investor Alerts or News Releases to get these updates straight to your inbox.
Why use ASC’s Investment Caution List and Investor Alerts?
In today’s digital era, investment opportunities can come from anywhere in the world and through any medium. Doing your own research before investing is an important first step to safeguarding your hard-earned money. Use ASC Investor Alerts and News Releases to stay aware of new and emerging threats. Round out your research by using the Investment Caution List before working with any individual, firm, or company.
Remember, even if the company you are researching is not on the Investment Caution List, don’t limit your research to only this source of information. Take another important step to confirm the legitimacy of an individual, firm or company by visiting our check registration page.
If you have questions about an investment opportunity or have discovered the individual, firm or platform you are dealing with is listed on the Investment Caution List, Investor Alerts or News Release, contact the Alberta Securities Commission.
