Search

Complaints Outside of IIROC’s Jurisdiction

If you wish to make a complaint or inquiry regarding an advisor or firm outside of IIROC’s jurisdiction, here are some options: 

Complaints regarding Mutual Fund Dealers or advisors across Canada should be directed to the Mutual Fund Dealers Association of Canada (MFDA), the national self-regulatory organization for the distribution side of the Canadian mutual fund industry. MFDA’s complaints area can be reached at 416-361-6332 or toll-free at 1-888-466-6332, by e-mail at [email protected], or by fax at 416-361-9073.

While IIROC’s mandate includes setting and enforcing market integrity rules regarding trading activity on Canadian debt and equity marketplaces, we do not have jurisdiction over specific issuers of securities or their directors, officers or employees. If you have a complaint involving issuers of securities, you can retrieve issuer profiles, including the principal regulator for the company, at www.sedar.com.

Provincial securities commissions regulate investment fund managers, scholarship plan dealers, exempt market dealers, restricted dealers and portfolio managers. Links to provincial and territorial securities commissions can be found here:

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 www.mfda.ca and www.iiroc.ca.

Visit the New Self-Regulatory Organization of Canada website

In this section