The mandate of the Enforcement Division is to protect the investing public through the investigation of complaints and the enforcement of the Securities Act.
Visit InvestRight , our investor education website, to report a suspected scam or file a complaint about an investment advisor or firm.
Refer to our guide to Conducting Background Research for information on researching the background of individuals and companies.
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 1998
- 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 who have been sanctioned in BC and elsewhere in Canada
- Investment Caution List: find companies that BCSC has placed on this list since 2008
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 Policy 15-601 Hearings describes procedures for the conduct of hearings.
About the BCSC Enforcement division.