A new Investor Guide from the Ontario Securities Commission helps investors understand their rights and responsibilities and clearly sets out the role of the Ontario Securities Commission as the investment industry’s watchdog.
The guide — Roles, Rights and Responsibilities — sets out the rules, policies and procedures that govern the financial markets. It explores the mandate of the regulators that oversee the industry and the responsibilities of companies that issue securities and dealers and advisors. The guide also stresses to investors that although there are rules in place to protect them, there are certain steps investors should take to protect themselves.
Roles, Rights and Responsibilities is available free of charge as part ofthe OSC’s Investor Education Kit. It is the sixth in the OSC’s Guide for Investors series, which also includes:
- An Investor’s Guide to OSC Resources and Services;
- A Step-by-Step Guide to Making a Complaint;
- Borrowing to Invest: Understanding Leverage;
- Financial Disclosure: What you need to know; and
- Dealers and Advisers: With Whom are You Dealing for Your Investment Services?
Investors can request a free Investor Education Kit by calling 1-877-785-1555 or they can view all OSC investor resources, including the new guide, on the OSC’s web site. The new guide can be found on the Required Reading page of the Investor Resources section.