IIROC has a dedicated team of Complaints & Inquiries Specialists that handles all incoming public investor complaints and inquiries. Located across Canada, the team answers general investment-related rule questions and takes in regulatory complaints involving IIROC-regulated firms and markets as well as:
· fielding trading halt and other trading-related inquiries
· providing information about IIROC's regulatory role
· helping investors navigate through the complaint process
· redirecting investors to other regulators or firms
· providing compensation information to investors that deal with IIROC-regulated investment dealers
· providing information about various investor tools and resources
If you have questions or concerns about potential rule infractions by an IIROC-regulated financial advisor or investment firm, or concerns with trading on an IIROC-regulated marketplace, we want to hear from you. 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. IIROC is committed to thoroughly assessing all regulatory matters brought to our attention and will take appropriate regulatory and disciplinary action against those under our jurisdiction who fail to meet their regulatory obligations.
We assess all complaints to determine whether they fall under IIROC's jurisdiction. If the matter is not for IIROC, we will direct you to the appropriate regulator or resource. If the matter falls under our jurisdiction, we will explain the complaint process, IIROC's role and your compensation options, if applicable. We then send your complaint to IIROC's Assessment unit where they will assess the matter to determine what, if any, action IIROC will take. Learn more about how our enforcement process works and how we review and analyze equity trading.
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