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Membership Disclosure



The new IIROC Membership Disclosure Policy, updated on November 24, 2016, in Notice 16-0271, raises public awareness about which Dealer Members and individuals are regulated by IIROC, and the requirements and ethical and professional standards to which they must adhere. Investors will also be able to check if the firm or individual has been disciplined by IIROC. 
 

Effective January 1, 2017, under IIROC’s requirements, dealer members must:
  • display the IIROC decal at each business location to which the public has access

  • distribute the IIROC official brochure, in print or electronic format, to new retail clients at account opening and existing retail clients upon request

  • include the IIROC logo and a link to the IIROC website on the home page of their websites

  • when providing services to retail investors, include a link and clearly visible reference to IIROC’s online advisor check database, IIROC AdvisorReport, on their website homepage and on any other Dealer Member webpage that includes a profile of an IIROC-regulated investment advisor.
Effective July 1, 2018, Dealer Members must include the IIROC logo on all client account statements.
 
Quick links:

 


 

Decals
(effective January 1, 2017)


IIROC will supply the IIROC Decals to the Dealer Member at no cost. Dealer Members are required to order the IIROC Decal from IIROC by sending an email to [email protected] with the following information:

  1. Dealer Member name
  2. Contact name, address and phone number
  3. Email address
  4. Quantities required

Refer to the IIROC Membership Disclosure Policy for full requirements.

 

 


 

IIROC Official Brochure
(effective January 1, 2017)

 

Entitled, “How IIROC protects investors”, Dealer Members must provide an electronic or hard copy to new retail clients at the time of account opening, and existing retail clients upon request.

Dealer Members are responsible for the cost of providing a hard copy of the IIROC Official Brochure to retail clients.

Ordering details


Refer to the IIROC Membership Disclosure Policy and Notice 16-0272 Disclosure of Membership in IIROC – IIROC Official Brochure, for full details.

 


 

IIROC AdvisorReport
(effective January 1, 2017)


Each Dealer Member that provides products or services to retail investors must include a hyperlink and clearly visible reference to the IIROC AdvisorReport on the Dealer Member’s homepage and on any other Dealer Member webpage that includes a profile of an IIROC-regulated investment advisor.

 

Refer to the IIROC Membership Disclosure Policy for full details.

 


 

"Regulated by IIROC" logo


Effective January 1, 2017, Dealer Members must include the IIROC logo and a link to the IIROC website, www.iiroc.ca, on the Dealer Member’s homepage or, where the Dealer Member website or web presence is part of a combined financial institution group website, on the main page for the Dealer Member.

 

Effective July 1, 2018, each Dealer Member is required to include the IIROC official logo on the front of each account statement that is sent to clients.

 

Below are high-resolution versions of the IIROC logo available for download. The IIROC logo, when used, must be clearly visible.

 

RegulatedByIIROC_ENG_2col_CMYK.jpg
Download for print (transparent background, EPS format) Download for web (white background, JPG format, 300 dpi)

Download for web (transparent background, PNG format, 72 dpi)

 

  


  RegulatedByIIROC_FRE_2col.jpg

Download for print (EPS format)

Download for web (white background, JPG format, 300 dpi)

Download for web (transparent background, PNG format, 72 dpi)

 

  


Horizontal-Eng-Fr.jpg

Download for print (EPS format)

Download for web (white background, JPG format, 300 dpi)

Download for web (transparent background, PNG format, 72 dpi)

 


 IIROC-Horizontal-Fr-Eng.jpg

Download for print (EPS format)

Download for web (white background, JPG format, 300 dpi)

Download for web (transparent background, PNG format, 72 dpi)  

 

 


IIROC-Vertical-Eng-Fr.jpg

Download for print (EPS format)

Download for web (white background, JPG format, 300 dpi)

 

Download for web (transparent background, PNG format, 72 dpi)

 


IIROC-Vertical-Fr-Eng.jpg

Download for print (EPS format)

Download for web (white background, JPG format, 300 dpi)

Download for web (transparent background, PNG format, 72 dpi) 

 

 


 

Contact

If you have any questions concerning the use of the IIROC Disclosures, please contact Public Affairs or Member Regulation Policy at 416-364-6133 or
1-877-442-4322.

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