IIROC’s Whistleblower Service

IIROC’s Whistleblower Service has been established to receive, evaluate and take prompt and effective action on reported first-hand knowledge or tangible evidence of potential systemic wrongdoing, potential securities frauds or unethical behaviour by individuals or firms in the investment industry.

Individuals using the Whistleblower Service will deal directly with a member of IIROC’s Whistleblower team:

• Maureen Jensen - Senior Vice President of Surveillance & Compliance;
• Rosemary Chan - Senior Vice President, General Counsel & Corporate Secretary
• Carmen Crépin - Vice President, Québec; and
• Warren Funt - Vice President, Western Canada.

These Whistleblower team members will immediately assess and take prompt and appropriate follow-up action on reported issues or behaviour.

All regulatory tip information received will be treated in confidence to the fullest extent possible. IIROC, however, cannot guarantee that the identity or documents of the source of the tip will not become known during the course of a related investigation or possible prosecution  if we are compelled by law to disclose this information.

IIROC continues to provide complaint handling services for clients of IIROC-regulated firms. If you are a client of an IIROC-regulated firm and would like to make a complaint related to your account, you may call our Complaint Line at 1.877.442.4322.  Clients can also file a complaint online or print a complaint form and send it to us.

To use our Whistleblower service you can email us at:

whistleblower@iiroc.ca

or call the Whistleblower Hotline at 1.866.211.9001.

Thank you for using IIROC’s Whistleblower Service.

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