At IIROC, we’re committed to responding to public complaints in a timely, helpful and fair fashion. Our role in protecting investors is to investigate complaints of regulatory violations and to impose penalties on those who are found guilty of such violations.
If you have a complaint about trading activity on an Canadian marketplace (check list), an IIROC-regulated advisor (run an IIROC AdvisorReport), or an IIROC-investment dealer firm (check list), we want to hear from you.
- Check to ensure IIROC is the right place to start. Call us at 1.877.442.4322 or email us at [email protected]. IIROC records all calls to and from Complaints & Inquiries team telephone lines.
- Make a complaint now by completing an online complaint form.
- Make a complaint by printing the form which includes details about how to fax or mail it back to us.
- If you are inquiring about trading halts or have general questions, call us first at 1-877-442-4322. Please note, IIROC will record your call.
IIROC will send you a written acknowledgement on receipt of your complaint.
Please note we cannot respond to customer service complaints such as late statements or poor service. If you have a service complaint, contact your firm directly.
All matters brought to the attention of IIROC are not necessarily regulatory violations that result in disciplinary action. IIROC does not provide financial, investment or legal advice.