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
Caldwell Securities Ltd.

150 King Street West
Suite 1710, P.O. Box 47
Toronto ON M5H 1J9

Canaccord Genuity Corp.

609 Granville Street, Suite 2200
P.O. Box 10337, Pacific Centre
Vancouver BC V7Y 1H2

Canada Life Securities Ltd.

255 Dufferin Avenue
London ON N6A 4K1

CanDeal Markets Inc.

50 Bay Street
Suite 1200
Toronto ON M5J 2Z8

Cantor Fitzgerald Canada Corporation

181 University Avenue
Suite 1500
Toronto ON M5H 3M7

Casgrain & Company Limited

1200, Avenue McGill Collège
21e étage
Montréal QC H3B 4G7

CI Investment Services Inc.

199 Bay St. Suite 2600
P.O. Box 108, STN Commerce Court
Toronto ON M5L 1E2

CIBC Investor Services Inc.

20 Dundas St. West
14th Floor
Toronto ON M5G 2C2

CIBC World Markets Inc.

161 Bay Street
P.O. Box 500
Toronto ON M5J 2S8

Citadel Securities Canada ULC

First Canadian Place, 100 King Street West
Suite 4720, P.O. Box 147
Toronto ON M5X 1C7


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