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Brochures and Investment Resources for Investors



​Helpful information on financial resources, tools, education programs, and IIROC brochures available for investors.

 

IIROC brochures for investors

How IIROC Protects Investors brochureThe How IIROC protects investors brochure has been developed to inform investors about IIROC’s regulatory mandate and responsibilities and specifically its role in investor protection. IIROC-regulated firms must distribute this brochure, in print or electronic format, to new retail clients at account opening and existing retail clients upon request.

Member firms must also provide the Making a complaint: A Guide for Investors and How Can I Get My Money Back? A Guide for Investors brochures (see below) to all new clients, existing clients who have submitted a written complaint, and when members respond to a client complaint.

Download How IIROC Protects Investors (PDF, 8 pages, 1.5MB)

 

 

Making a Complaint: A Guide for Investors brochureHow Can I Get My Money Back? A Guide for Investors brochure

Making a Complaint: A Guide for Investors (Part 1 of 2) provides investors with information on how to make a complaint to IIROC and an IIROC-regulated firm.

How Can I Get My Money Back? A Guide for Investors (part 2 of 2) provides investors with information on options for seeking compensation.

These brochures 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. Members are also to provide the How IIROC protects investors brochure (see above) to new clients and existing clients upon request.

Download Making a Complaint: A Guide for Investors (Part 1 of 2) (PDF, 7 pages, 190 kB)

Download How Can I Get My Money Back? A Guide for Investors (part 2 of 2) (PDF, 7 pages, 142 kB)

 

 

Opening Your Retail Account brochure

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.

Download Opening Your Retail Account (PDF, 16 pages, 288 kB)

 


 

Copy of the Official Canadian Investor Protection Fund (CIPF) Brochure

Opening Your Retail Account brochure
This is a copy of the official CIPF brochure. The official brochure can be obtained from any CIPF member.

CIPF provides protection to investors who are clients of firms regulated by IIROC, in the event the firm becomes insolvent or ceases operations due to bankruptcy. CIPF is funded by IIROC-regulated firms and their membership is mandatory.

 


 

Corporate Bond Information website

This tool has been designed to assist market participants to make more informed corporate bond trading and investment decisions. Investors can check a day’s trading activity on a given bond, sort trades done by retail and/or institutional clients, and view up to three months of historical trading activity on a given bond. Learn more about IIROC's Corporate Bond Information website.

 


 

External investment resources for investors