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Investor Resource Centre



How IIROC protects you, the investor

  • sets high regulatory and investment industry standards
  • oversees Canadian stock market activity 
  • investigates and disciplines misconduct by firms or advisors

Learn more about IIROC
and our work with other regulators

 

June is Seniors Month


​Protect yourself with helpful financial resources  and materials for seniors.


Check out IIROC resources for seniors

 

IIROC encourages investors to join the OSC teletownhall on Thursday, November 23, 2017. Register now.
 

 

IIROC resources for investors

 

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Choosing an advisor

Learn about the advantages of using an IIROC-registered advisor and which questions to ask when choosing an advisor.

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IIROC AdvisorReport
Become a better informed investor. Research advisor background, qualifications, certifications, and disciplinary information.

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Investor Bulletins

IIROC publishes Bulletins for investors offering tips and information to help you become an informed investor.

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Protect yourself

Find out how to protect yourself against typical financial scams and where to turn if you think you have been a victim.

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Complaints and inquiries

File your complaint in the case of advisor or firm misconduct.

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Financial Certifications Glossary

Learn about certifications and designations commonly used within the Canadian financial services industry.

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Download IIROC Brochures

Our brochures are available in PDF format.

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Investor Research

IIROC has created an online panel of 10,000 Canadians to gather public input on regulatory matters and other public interest issues. Through online surveys, Canadian investors are given a voice in IIROC’s decisions and actions. Survey results on various different topics are published here.


 

How IIROC works with other regulators for investor protection


IIROC has signed agreements with other regulators to help prevent individuals disciplined for wrongdoing from simply moving to a new jurisdiction or switching designations to hide offences. Learn more about how IIROC works with other regulators.

 


 

Featured video

 

Monitoring Equity Markets in Canada

 

Life Cycle of a Trade

 

Making A Complaint

 

Watch more videos...

 


 

Additional information

Unpaid Fines Report

A list of individuals who had been employed at IIROC-regulated firms and who have not paid the full amount of a fine, disgorgement, and/or costs order.

Corporate bond information

Check Canadian corporate bond trading activity free of charge.

 


 

Canadian Investor Protection Fund


The Canadian Investor Protection Fund (CIPF) provides protection to investors who are clients of firms regulated by IIROC, in the event the firm becomes insolvent or ceases operations due to bankruptcy. CIPF is funded by IIROC-regulated firms and their membership is mandatory.