IIROC protects investors like you by:

  • setting high regulatory and investment industry standards 
  • overseeing trading activity on Canadian debt and equity marketplaces 
  • investigating and disciplining misconduct by regulated firms or advisors. 

In addition, we have resources to help investors – from first timers to seniors – whether you are trying to find the right advisor, want to know how to make a complaint, or are simply interested in investment basics.

Investors- woman in conference room

Office of the Investor

New Self-Regulatory Organization of Canada (New SRO) is the only securities regulator with a dedicated pan-Canadian investor office.

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on and