Before you invest or take financial advice, make sure the person or firm you’re working with is properly licensed or registered in New Brunswick. Licence and registration helps protect you from fraud and ensures professional meets minimum standards for education, experience, and conduct.
The Commission regulates over 44,000 industry participants across a wide range of sectors. This includes:
Securities and investments (including crypto trading platforms)
Insurance
Pensions
Credit unions
Trust and loan companies
Cooperatives
Mortgages
Real estate
Door-to-door sales
Debt collection
Payday lending
If someone works in one of these areas, they may need to be licensed or registered with the Commission. If they aren’t, they may not be qualified, you may not have recourse if they don’t follow the rules, or they could be operating illegally.
Registered professionals must follow rules that protect consumers and investors. These rules include:
Acting in your best interest
Giving advice that suits your needs
Explaining fees and conflicts of interest
Keeping your personal information safe
Before you work with someone, check their licence or registration status:
If you find someone who isn’t registered or is on a caution list, report it to FCNB.
The Commission maintains a list of individuals and firms that may pose a risk to consumers. Before working with anyone, check Investor Warnings and Consumer Alerts.
If you find someone on the list, or suspect wrongdoing, report it to the Commission immediately.