Dealers We Regulate

All firms and their registered representatives that are in the business of advising on or trading in securities in Canada must be members of IIROC and follow IIROC rules for business conduct, financial operations and trading practices. 

IIROC oversees approximately 174 firms and their 32,000 registered representatives.

We refer to the firms that we regulate as IIROC Dealer Members.

For more information on Dealer Members subject to Terms and Conditions, please click on the following:

Terms and conditions listed on the IIROC Website are with regards to current terms and conditions imposed on a Dealer Member’s membership.

For information on any terms and conditions that may be imposed on a Dealer Member’s registration, please see the National Registration Search database provided by the Canadian Securities Administrators at CSA National Registration Search.

IIROC Dealer Members by Peer Group

Dealers we regulate

Organization Name Address
Acker Finley Inc.

181 University Avenue
Suite 1400
Toronto ON M5H 3M7

Acumen Capital Finance Partners Limited

500 - 4th Ave. SW
Suite 800
Calgary AB T2P 2V6

Admiral Markets Canada Ltd.

Terms and Conditions

One Canada Square Canary Wharf
London E14 5AB United Kingdom

+44 207 726 4003
Agentis Capital Markets Limited Partnership

999 West Hastings St
Vancouver British Columbia Canada V6C 2W2

AimStar Capital Group Inc.

7050 Woodbine Avenue
Suite 201
Markham Ontario Canada L3R 4G8


Aligned Capital Partners Inc.

1001 Champlain Avenue
Suite 300
Burlington ON L7L 5Z4

Argosy Securities Inc.

1725, 16th Avenue
Suite 101
Richmond Hill ON L4B 0B3

Arton Investments

1 Westmount Square
Suite 1110
Montréal QC H3Z 2P9

Assante Capital Management Ltd.

199 Bay Street
Suite 2700
Toronto, ON M5L 1E2

ATB Capital Markets Inc.

#410, 585 - 8th Avenue SW
Calgary AB T2P 1G1


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