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IIROC Brochures



IIROC publishes three brochures available in English and French: How IIROC protects investors, Opening Your Retail Account, and An Investor’s Guide to Making a Complaint. Orders for our brochures can be placed with our printers. 

 

How IIROC protects investors


This brochure has been developed for use by IIROC regulated firms and registrants to inform investors about IIROC’s regulatory mandate and responsibilities and specifically its role in investor protection.

How IIROC protects investors

This brochure contains useful information to help investors understand the advantages and protections offered by investing through an IIROC-regulated advisor and firm.

Copies can be ordered from:
Chris Valade Advertek
[email protected]
Telephone: 905-265-1165 x218
Fax: 905-265-7740

The minimum order size is 100 brochures. As bulk orders enjoy substantial cost savings, where practical, we suggest ordering “in size” and/or teaming up with other Member firms for that purpose.



Download in PDF format:

​Effective January 1, 2017, under IIROC’s requirements, Dealer Members must distribute the How IIROC protects investors brochure, in print or electronic format, to new retail clients at account opening and existing retail clients upon request. Refer to the IIROC Membership Disclosure Policy and Notice 16-0272 Disclosure of Membership in IIROC – IIROC Official Brochure for full details.

Also, as per Rule 2500B, member firms must provide the An Investor's Guide to Making a Complaint brochure to all new clients, existing clients who have submitted a written complaint, and when members respond to a client complaint.

 


 


Opening Your Retail Account


brochure_01.jpgThis brochure provides investors with detailed information on the required documentation and personal information they are required to provide firms during the account application process.

Copies can be ordered from:
Chris Valade Advertek
[email protected]
Telephone: 905-265-1165 x218
Fax: 905-265-7740

The minimum order size is 100 brochures. As bulk orders enjoy substantial cost savings, where practical, we suggest ordering “in size” and/or teaming up with other Member firms for that purpose.




Download in PDF format:


 

An Investor’s Guide to Making a Complaint


brochure_02.jpgThis brochure provides investors with information on how to make a complaint to IIROC and an IIROC-regulated firm, and provides options for seeking compensation. There is information on the dispute resolution services available to clients, including the IIROC’s arbitration program and the Ombudsman for Banking Services and Investments.

Under Rule 2500B, this brochure must be provided by member firms to all new clients, existing clients who have submitted a written complaint, and when members respond to a client. See Notice 09-0363 for more information.

Copies can be ordered on www.ordernet.ca or call RR Donnelley at 416-445-8800 ext 2236. View step-by-step instructions on using OrderNet.

Download in PDF format

Please note: As per IIROC's Membership Disclosure Policy, members are also to provide the How IIROC protects investors brochure to new clients and existing clients upon request.

 


 

Strip Bond Information Statement Brochures


Canada's securities regulators have mandated that the Strip Bond Information Statement must be provided to all clients before they execute a strip bond trade.

Copies can be ordered at www.ordernet.ca (step-by-step instructions on using OrderNet).

Download in PDF format:

For more information on the Strip Bond Information Statement, please see Bulletin 3179.

 


 

CIPF Brochures


Brochures published by the Canadian Investor Protection Fund (CIPF) can be ordered directly on the CIPF website.

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