Know who you’re dealing with.

Part of making the right investment decision is not only finding an advisor who meets your personal financial needs but also ensuring that he or she is properly qualified.

IIROC approval means investors can be confident they’re dealing with trained registered professionals at an IIROC-regulated firm.  .  It also means that investors’ cash and securities which are held by the firm are protected – within defined limits – by the Canadian Investor Protection Fund (CIPF) if that firm becomes insolvent or ceases operation due to bankruptcy. IIROC requires all of its dealer members to be members of CIPF and fund CIPF through quarterly assessments. Membership in CIPF is limited to IIROC-regulated firms. Investor protection is automatic when a client account is opened at an IIROC-regulated firm. To learn more about CIPF coverage, see the IIROC Investor Alert on CIPF here or visit CIPF’s website at www.cipf.ca.

Before being approved for employment with an IIROC-regulated firm, advisors are subject to IIROC registration standards and background checks.