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:
- SIG North Trading, ULC – the T&Cs were imposed on March 25, 2021
- Admiral Markets Canada Ltd. – the T&Cs were imposed on March 24, 2022
- Pollitt & Co. Inc. – the T&Cs were imposed on February 3, 2023
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
- Download the list of IIROC Dealer Members by Peer Group (pdf).
Dealers we regulate
| Organization Name | Address |
|---|---|
| A.G.P. Canada Investments ULC | 5063 North Service Road 416-274-5884 |
| Acker Finley Inc. | 181 University Avenue 416-777-9005 www.ackerfinley.com |
| Acumen Capital Finance Partners Limited | 500 - 4th Ave. SW 403-571-0300 www.acumencapital.com |
| Admiral Markets Canada Ltd. | One Canada Square Canary Wharf +44 207 726 4003 www.admiralmarkets.com |
| Agentis Capital Markets Limited Partnership | 999 West Hastings St 604-687-1597 |
| AimStar Capital Group Inc. | 7050 Woodbine Avenue 905-906-5288 |
| Aligned Capital Partners Inc. | 1001 Champlain Avenue 905-639-5115 www.alignedcapitalpartners.com |
| Argosy Securities Inc. | 1725, 16th Avenue 905-709-7066 www.argosysecurities.com |
| Arton Investments | 1 Westmount Square 514-935-9333 www.artoninvest.com |
| Assante Capital Management Ltd. | 199 Bay Street 416-348-9994 www.assante.com |
Welcome to CIRO.ca!
We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.