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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 IIROC-regulated individuals or firms.

 

What is a Whistleblower?

 

A whistleblower is a person who raises a concern about wrongdoing occurring in an organization or body of people. Usually this person would be from that same organization and would have access to information by virtue of their job position (they are not simply providing personal opinion). The revealed misconduct may be classified in many ways; for example, a violation of a law, rule, regulation and/or a direct threat to public interest, such as fraud. Whistleblowers may make their allegations internally (for example, to other people within the accused organization) or externally (to regulators like IIROC, law enforcement agencies, to the media or to groups concerned with the issues). A whistleblower is acting in the public interest and not for personal gain.

 

Are you a Whistleblower?

 

If you are uncertain whether your information constitutes a whistleblower case, whether IIROC has jurisdiction over the individuals involved or for more information on how to proceed, please contact IIROC’s Complaints and Inquiries team at 1.877.442.4322.

 

If you are a client of an IIROC-regulated firm and would like to make a complaint related to your account, your advisor or firm, you may reach our Complaints and Inquiries team at 1.877.442.4322 or email us at [email protected]. Clients can also file a complaint online or print a complaint form and send it to us.

 

What do we need from you?

 

We require factual details of the wrongdoing, including the names of the individual(s) and/or firm(s) involved so we may take appropriate action. 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.

 

What can you expect from IIROC’s Whistleblower Service?

 

The first point of contact for all users of the Whistleblower Service will be with either a Manager or the Director of Case Assessment who will immediately evaluate the matter to determine the appropriate avenue for action. After the initial assessment, Whistleblowers may deal directly with a member of IIROC’s Whistleblower team:

 

Elsa Renzella - Vice President, Enforcement
Claudyne Bienvenu - Vice-President, Québec
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. Thank you for using IIROC’s Whistleblower Service.

 

To use our Whistleblower service you can email us at [email protected] or call the Whistleblower Hotline at 1.866.211.9001.


IIROC records all calls to and from the Whistleblower Service telephone lines.

 

If you have a complaint relating to your investment dealer or to trading on an IIROC-regulated marketplace, call our Complaints and Inquiries team at 1.877.442.4322 or reach us by email at [email protected].

 
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