Please note: A firm with an existing supply of the brochure “An Investor’s Guide to Making a Complaint” may continue to provide that brochure to clients to satisfy its delivery obligation. When the firm’s existing supply runs out, the firm must then use IIROC’s new complaints brochure consisting of two parts -
Making a Complaint: A Guide for Investors Part 1 or 2, and
How Can I Get My Money Back?: A Guide for Investors Part 2 of 2. The firm must provide both parts to clients to satisfy its delivery obligation.
IIROC publishes four brochures available in English and French:
How IIROC protects investors,
Making a Complaint: A Guide for Investors Part 1 of 2,
How Can I Get My Money Back: A Guide for Investors Part 2 of 2, and
Opening an Investment Account: A Guide for Investors.
How to order copies
Orders for our brochures can be made on
www.ordernet.ca.
The minimum order size is 100 brochures. As bulk orders enjoy substantial cost savings, where practical, we suggest ordering “in size” and/or teaming up with other Member firms for that purpose.
How IIROC protects investors – Mandatory Distribution
This brochure has been developed for use by IIROC regulated firms and registrants to inform investors about IIROC’s regulatory mandate and responsibilities and specifically its role in investor protection.
Effective
January 1, 2017, under IIROC’s requirements, Dealer Members must distribute the
How IIROC protects investors brochure, in print or electronic format, to new retail clients at account opening and existing retail clients upon request. Refer to the
IIROC Membership Disclosure Policy and
Notice 16-0272 Disclosure of Membership in IIROC – IIROC Official Brochure for full details.
Also, as per
Rule 2500B, member firms must provide the
An Investor's Guide to Making a Complaint brochure to all new clients, existing clients who have submitted a written complaint, and when members respond to a client complaint.
Download in PDF format:
Making a Complaint: A Guide for Investors Part 1 of 2
– Mandatory Distribution
How Can I Get My Money Back: A Guide for Investors Part 2 of 2
– Mandatory Distribution
These brochures explain how to make a complaint to both IIROC-regulated firms and IIROC as well as the various options for pursuing compensation.
As per IIROC's
Membership Disclosure Policy, members are also to provide the
How IIROC protects investors to new clients and existing clients upon request.
Also, under
Rule 2500B, both 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. See
Notice 09-0363 for more information.
Download in PDF format
Opening an Investment Account: A Guide for Investors
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 in PDF format:
Strip Bond Information Statement Brochures
Canada's securities regulators have mandated that the Strip Bond Information Statement must be provided to all clients before they execute a strip bond trade.
Download in PDF format:
For more information on the Strip Bond Information Statement, please see
Bulletin 3179.
CIPF Brochures
Brochures published by the Canadian Investor Protection Fund (CIPF) can be ordered directly on the
CIPF website.
