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IIROC Brochures



IIROC publishes four brochures available in English and French: Opening Your Retail Account, Making a Complaint, How to Get Your Money Back, and How IIROC Protects Investors.

How to order copies

Orders for our brochures can be made on www.ordernet.ca (view step-by-step instructions on using OrderNet) or by telephone by calling RR Donnelley at
416-445-8800 ext 2236.

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.

 


 

How IIROC protects investors – Mandatory Distribution

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

​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 (Part 1 of 2) and How Can I Get My Money Back (Part 2 of 2) brochures (see below) to all new clients, existing clients who have submitted a written complaint, and when members respond to a client complaint.


Download in PDF format:

 


 

Making a Complaint: A Guide for Investors – Mandatory Distribution


This new brochure provides investors with information on how to make a complaint to IIROC and an IIROC-regulated firm.

Making a Complaint: A Guide for InvestorsUnder 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.

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

If you have existing stock on hand, please feel free to use this up before reordering.

 


Download in PDF format

 


 

How Can I Get My Money Back: A Guide for Investors – Mandatory Distribution

This brochure provides investors with information on 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.

How Can I Get My Money Back: A Guide for InvestorsUnder 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.


Download in PDF format

 



Opening Your Retail Account

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

Opening Your Retail Account



Download in PDF format:


 

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.

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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