Enforcement
The mandate of the Enforcement Division is to protect the investing public through the investigation of complaints and the enforcement of the Securities Act.
If you would like to file a complaint, please refer to File a complaint on the InvestRight website.
For information on researching the background of individuals and companies, please refer to Conducting Background Research.
In the Enforcement section you can find information about:
- Hearings: search for hearings that were in progress or began after August 1, 2005
- Notices of hearing: find notices of hearing as well as notices of dates of hearings, applications, amended notices, and adjournments, from 1989
- Decisions & Orders: find decisions, settlements, notices, and orders from November 1, 1996, as well as decisions and settlements naming individuals on our Disciplined Persons List from 1987
- Cease Trade Orders: find cease trade orders issued against a person or company
- Disciplined Persons List: find individuals that the Commission has sanctioned since 1987
- Investment Caution List: find companies that BCSC has placed on this list since 2008
- Restitution: BCSC cases where restitution may be available for BC victims
View the Hearings page to search hearing files and for the hearing schedule. For information about hearings:
- Your Guide to Investigations and Hearings before the Commission describes what you can expect as a participant in an investigation or hearing.
- BCN 2007/34 BCSC Governance of Enforcement Settlement Agreements implements governance practices related to enforcement settlements entered into by the executive director.
- BC Instrument 15-501 Disclosure of Investigation Information provides general Commission consent for disclosure of investigtion information.
- BC Policy 15-601 Hearings describes procedures for the conduct of hearings.
About the BCSC Enforcement division.
