Helpful information on financial resources, tools, education programs, and IIROC brochures available for investors.
IIROC brochures for investors
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.
How IIROC Protects Investors (PDF, 8 pages, 1.5MB)
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.
Making a Complaint: A Guide for Investors (Part 1 of 2) (PDF, 7 pages, 190 kB)
How Can I Get My Money Back? A Guide for Investors (part 2 of 2) (PDF, 7 pages, 142 kB)
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 (PDF, 16 pages, 288 kB)
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